Current Report Filing (8-k)
November 12 2021 - 06:16AM
Edgar (US Regulatory)
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2021-11-12 iso4217:USD xbrli:shares iso4217:USD xbrli:shares
UNITED
STATES
SECURITIES AND
EXCHANGE COMMISSION
WASHINGTON, D.C.
20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of
1934
Date of
Report:
November 12, 2021
Gaucho Group Holdings, Inc.
(Exact name
of registrant as specified in its charter)
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Delaware |
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001-40075 |
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52-2158952 |
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State
of |
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Commission |
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IRS
Employer |
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Incorporation |
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File
Number |
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Identification
No. |
112 NE 41st Street,
Suite 106
Miami,
FL
33137
Address of
principal executive offices
212-739-7700
Telephone
number, including
Area
code
Former name
or former address if changed since last report
Check the
appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General
Instruction A.2. below):
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☐ |
Written
communication pursuant to Rule 425 under the Securities Act (17 CFR
230.425) |
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☐ |
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12) |
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☐ |
Pre-commencement
communication pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b)) |
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☐ |
Pre-commencement
communication pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c)) |
Indicate by
check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405)
or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR
§240.12b-2).
Emerging
growth company
☒
If an
emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act.
Securities
registered pursuant to Section 12(b) of the Act:
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Title of
each class |
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Trading
Symbol(s) |
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Name of each
exchange on which registered |
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Common Stock |
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VINO |
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The Nasdaq Stock Market LLC |
Item 8.01
Other Events
As
previously reported on our Current Report on Form 8-K filed on
November 8, 2021, Gaucho Group Holdings, Inc. (the “Company,” “we,”
“us” or “our”) entered into a Securities Purchase Agreement (the
“Purchase Agreement”) with certain institutional investors on
November 3, 2021.
On November
9, 2021, in connection with the Purchase Agreement, the Company
sold to the investors a series of senior secured convertible notes
of the Company, in the aggregate original principal amount of
$6,480,000 (the “Notes”), which Notes shall be convertible into
shares of common stock of the Company at a conversion price of
$3.50 (subject to adjustment). The Company received gross proceeds
of $6,000,000 from the Notes.
For the full
description of the Purchase Agreement, the Notes, and related
transaction documents, please refer to our Current Report on Form
8-K and the exhibits attached thereto as filed with the SEC on
November 8, 2021.
SIGNATURES
Pursuant to
the requirements of the Securities Exchange Act of 1934, the
registrant caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized, on the 12th day of
November, 2021.
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Gaucho
Group Holdings, Inc. |
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By: |
/s/Scott
L. Mathis |
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Scott L. Mathis,
President & CEO |
Gaucho (NASDAQ:VINO)
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