Marc Dumont - Dec 31, 2022 Form 4 Insider Report for Gaucho Group Holdings, Inc. (VINO)

Role
Director
Signature
/s/ Marc Dumont
Stock symbol
VINO
Transactions as of
Dec 31, 2022
Transactions value $
$37,500
Form type
4
Date filed
8/2/2023, 05:53 PM
Previous filing
Aug 18, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VINO Common Stock Options Exercise $37.5K +3.87K +42.86% $9.68* 12.9K Dec 31, 2022 Direct F1
transaction VINO Common Stock Award $37.5K +67.6K +523.42% $0.56 80.5K Jul 14, 2023 Direct F2
holding VINO Common Stock 11.7K Dec 31, 2022 Direct F3
holding VINO Common Stock 2.5K Dec 31, 2022 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction VINO Restricted Stock Unit Options Exercise -$37.5K -3.87K -100% $9.68* 0 Dec 31, 2022 Common Stock 3.87K $0.81 Direct F1
transaction VINO Stock Option Other $0 -278 -100% $0.00* 0 Dec 17, 2022 Common Stock 278 $198.00 Direct F5
holding VINO Stock Option 278 Dec 31, 2022 Common Stock 278 $69.36 Direct F6
holding VINO Stock Option 556 Dec 31, 2022 Common Stock 556 $108.96 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Vesting of restricted stock units and shares issued pursuant to Gaucho's 2018 Equity Incentive Plan.
F2 Acquired as compensation for service on the Board of Directors for the first half of 2023.
F3 Owned by self, Patrick Dumont and Vinciane Dumont as joint tenants with rights of survivorship.
F4 Owned by self, Vinciane Dumont and Catherine Dumont as joint tenants with rights of survivorship.
F5 Expiration of option with no value received.
F6 Options granted pursuant to Gaucho's 2018 Equity Incentive Plan. Fully vested on 1/31/23.
F7 Options granted pursuant to Gaucho's 2018 Equity Incentive Plan; options to acquire 25% shares vested on 9/28/21; thereafter options to acquire 35 shares vest every three months until fully vested on 9/28/24.