Statement of Changes in Beneficial Ownership (4)
June 09 2022 - 5:02PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Rodriguez Edie |
2. Issuer Name and Ticker or Trading Symbol
Gaucho Group Holdings, Inc.
[
VINO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1764 VICTORIA POINTE CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/7/2022 |
(Street)
WESTON,, FL 33327
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock (1) | 6/7/2022 | | A | | 61958 | A | $0.807 | 70291 | D | |
Common Stock (1) | 6/7/2022 | | A | | 46469 | A | $0.807 | 116760 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Warrants (2) | $6.00 | | | | | | | 2/19/2021 | 8/19/2022 | Common Stock | 8333 | | 8333 | D | |
Stock Option (3) | $9.08 | | | | | | | (3) | 9/8/2025 | Common Stock | 6667 | | 6667 | D | |
Explanation of Responses: |
(1) | Acquisition of restricted common stock of the Company as approved by the Compensation Committee and Board of Directors pursuant to the 2018 Equity Incentive Plan for services provided to the Company as a director for 2021 and half of 2022. |
(2) | Purchased pursuant to a public offering of Units at a price of $6.00 per Unit, with each Unit consisting of one share of common stock and one common stock purchase warrant; each warrant has an exercise price equal to 100% of the offering price. |
(3) | Options issued pursuant to the 2018 Equity Incentive Plan on September 28, 2020 at $9.08 per share. 1,667 shares vest on 9/8/2021; thereafter 417 shall vest every three months. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rodriguez Edie 1764 VICTORIA POINTE CIRCLE WESTON,, FL 33327 | X |
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Signatures
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/s/ Edie Rodriguez | | 6/9/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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