Statement of Changes in Beneficial Ownership (4)
November 01 2021 - 03:54PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Echevarria Maria
I. |
2. Issuer Name and Ticker or Trading
Symbol Gaucho Group Holdings, Inc. [ VINO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CFO |
|
(Last)
(First)
(Middle)
14 BENMORE TER. |
3. Date of Earliest Transaction (MM/DD/YYYY)
7/6/2021
|
|
(Street)
BAYONNE,, NJ 07002
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Shares |
7/6/2021 |
|
A |
|
2505 |
A |
$0 |
3391 |
I |
See Footnote (1) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Stock Option |
$5.78 |
|
|
|
|
|
|
(2) |
7/8/2024 |
Common Stock |
10334 |
|
10334 |
D |
|
|
Stock Option |
$5.78 |
|
|
|
|
|
|
(3) |
1/31/2024 |
Common Stock |
5000 |
|
5000 |
D |
|
|
Stock Option |
$8.09 |
|
|
|
|
|
|
(4) |
9/20/2023 |
Common Stock |
2000 |
|
2000 |
D |
|
|
Stock Option |
$11.55 |
|
|
|
|
|
|
(5) |
2/14/2023 |
Common Stock |
1667 |
|
1667 |
D |
|
|
Stock Option |
$16.50 |
|
|
|
|
|
|
(6) |
12/17/2022 |
Common Stock |
3334 |
|
3334 |
D |
|
| Explanation of
Responses: |
| (1) |
Held in Ms. Echevarria's
401(k) account. |
| (2) |
Options granted pursuant to
AWLD's 2018 Equity Incentive Plan; options to acquire 2,584 shares
vest on 7/8/20; thereafter options to acquire 646 shares vest every
three months. |
| (3) |
Options granted pursuant to
AWLD's 2018 Equity Incentive Plan; options to acquire 1,250 shares
vest on 1/31/20; thereafter options to acquire 313 shares vest
every three months. |
| (4) |
Options granted pursuant to
AWLD's 2018 Equity Incentive Plan; options to acquire 500 shares
vest on 9/20/19; thereafter options to acquire 125 shares vest
every three months. |
| (5) |
Options granted pursuant to
AWLD's 2016 Equity Incentive Plan; options to acquire 418 shares
vest on 2/14/19; thereafter options to acquire 105 shares vest
every three months. |
| (6) |
Options granted pursuant to
AWLD's 2016 Equity Incentive Plan; options to acquire 834 shares
vest on 12/17/18; thereafter options to acquire 209 shares vest
every three months. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Echevarria Maria I.
14 BENMORE TER.
BAYONNE,, NJ 07002 |
|
|
CFO |
|
Signatures
|
|
/s/ Maria I. Echevarria |
|
10/31/2021 |
| **Signature of
Reporting Person |
Date |
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