Filing Details
- Accession Number:
- 0001493152-17-004383
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2017-04-25 21:41:08
- Reporting Period:
- 2014-09-08
- Filing Date:
- 2017-04-25
- Accepted Time:
- 2017-04-25 21:41:08
- Original Submission Date:
- 2015-04-03
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1559998 | Algodon Wines & Luxury Development Group Inc. | VINO | () | NY |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1079963 | L Scott Mathis | 135 Fifth Avenue, Floor 10 New York NY 10010 | President, Ceo & Director | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2014-09-08 | 10,000 | $2.00 | 83,467 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2014-11-24 | 3,500 | $2.00 | 86,967 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2015-03-08 | 4,000 | $2.00 | 90,967 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option | Disposition | 2015-02-22 | 47,132 | $0.00 | 47,132 | $2.63 |
Common Stock | Warrant | Disposition | 2015-04-03 | 6,576 | $0.00 | 6,576 | $1.59 |
Common Stock | Warrant | Acquisiton | 2014-09-30 | 31 | $0.00 | 31 | $2.30 |
Common Stock | Warrant | Acquisiton | 2014-12-31 | 40,364 | $0.00 | 40,364 | $2.30 |
Common Stock | Warrant | Acquisiton | 2014-12-31 | 10,800 | $0.00 | 10,800 | $2.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,533,919 | 2013-02-22 | 2015-02-22 | No | 4 | J | Direct |
2,533,919 | 2010-04-03 | 2015-04-03 | No | 4 | J | Direct |
2,533,919 | 2014-09-30 | 2019-09-30 | No | 4 | A | Direct |
2,533,919 | 2014-12-30 | 2019-12-30 | No | 4 | A | Direct |
2,533,919 | 2014-12-30 | 2019-12-30 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 4,713,807 | Indirect | See footnote |
Common Stock | 336,545 | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option | $2.48 | 2015-08-27 | 2019-08-27 | 150,000 | 2,533,919 | Direct |
Common Stock | Stock Option | $2.48 | 2019-08-27 | 500,000 | 2,533,919 | Direct | |
Common Stock | Stock Option | $8.03 | 2011-04-15 | 2015-04-15 | 1,713 | 2,533,919 | Direct |
Common Stock | Stock Option | $3.85 | 2012-04-15 | 2016-04-15 | 25,000 | 2,533,919 | Direct |
Common Stock | Stock Option | $3.85 | 2013-04-15 | 2017-04-15 | 25,000 | 2,533,919 | Direct |
Common Stock | Stock Option | $2.48 | 2014-04-15 | 2018-04-15 | 25,000 | 2,533,919 | Direct |
Common Stock | Stock Option | $3.85 | 2016-07-06 | 422,500 | 2,533,919 | Direct | |
Common Stock | Stock Option | $2.48 | 2013-06-30 | 2018-06-30 | 1,000,000 | 2,533,919 | Direct |
Common Stock | Warrant | $1.59 | 2010-07-27 | 2015-07-27 | 22,237 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2012-12-31 | 2017-12-31 | 18,939 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2012-10-31 | 2017-10-31 | 85,518 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2013-03-31 | 2018-03-31 | 22,878 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2013-06-30 | 2018-06-30 | 2,460 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2013-09-30 | 2018-09-30 | 27,561 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2013-12-31 | 2018-12-31 | 36,031 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2014-03-31 | 2019-03-31 | 59,053 | 2,533,919 | Direct |
Common Stock | Warrant | $2.30 | 2014-06-30 | 2019-06-30 | 58,834 | 2,533,919 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2019-08-27 | 150,000 | 2,533,919 | Direct |
2019-08-27 | 500,000 | 2,533,919 | Direct |
2015-04-15 | 1,713 | 2,533,919 | Direct |
2016-04-15 | 25,000 | 2,533,919 | Direct |
2017-04-15 | 25,000 | 2,533,919 | Direct |
2018-04-15 | 25,000 | 2,533,919 | Direct |
2016-07-06 | 422,500 | 2,533,919 | Direct |
2018-06-30 | 1,000,000 | 2,533,919 | Direct |
2015-07-27 | 22,237 | 2,533,919 | Direct |
2017-12-31 | 18,939 | 2,533,919 | Direct |
2017-10-31 | 85,518 | 2,533,919 | Direct |
2018-03-31 | 22,878 | 2,533,919 | Direct |
2018-06-30 | 2,460 | 2,533,919 | Direct |
2018-09-30 | 27,561 | 2,533,919 | Direct |
2018-12-31 | 36,031 | 2,533,919 | Direct |
2019-03-31 | 59,053 | 2,533,919 | Direct |
2019-06-30 | 58,834 | 2,533,919 | Direct |
Footnotes
- Shares held by Mr. Mathis' 401(k) account.
- Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
- Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
- This Form 4 is amended to include three warrants issued to Mr. Mathis and the expiration of an option and a warrant that were inadvertently omitted from the original Form 4 as filed and corrects the total amount of beneficially owned derivative securities.
- Expiration of options with no value received.
- Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
- Options to acquire 105,625 vested on July 6, 2012; thereafter options to acquire 26,409 shares vest every three months.
- Expiration of warrants with no value received.
- Warrants to purchase Series A Preferred Stock were automatically converted to common stock on July 14, 2014 on a 1:1 basis pursuant to the effectiveness of AWLD's Form 10 filed with the SEC on May 14, 2014.