Filing Details
- Accession Number:
- 0001493152-17-004384
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2017-04-25 21:41:41
- Reporting Period:
- 2015-04-15
- Filing Date:
- 2017-04-25
- Accepted Time:
- 2017-04-25 21:41:41
- Original Submission Date:
- 2015-10-01
- 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 | 2015-08-27 | 4,632 | $2.00 | 95,599 | No | 4 | P | Indirect | See footnote |
Common Stock | Disposition | 2015-08-27 | 53,151 | $2.00 | 4,660,656 | No | 4 | J | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
No | 4 | J | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option | Disposition | 2015-04-15 | 1,713 | $0.00 | 1,713 | $8.03 |
Common Stock | Stock Option | Acquisiton | 2015-06-08 | 1,459,890 | $0.00 | 1,459,890 | $2.20 |
Common Stock | Warrant | Disposition | 2015-07-27 | 22,237 | $0.00 | 22,237 | $1.59 |
Common Stock | Warrant | Acquisiton | 2015-03-31 | 24,600 | $0.00 | 24,600 | $2.00 |
Common Stock | Warrant | Acquisiton | 2015-06-30 | 43,589 | $0.00 | 43,589 | $2.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
4,038,048 | 2011-04-15 | 2015-04-15 | No | 4 | J | Direct |
4,038,048 | 2020-06-08 | No | 4 | A | Direct | |
4,038,048 | 2010-07-27 | 2015-07-27 | No | 4 | J | Direct |
4,038,048 | 2015-03-31 | 2020-03-31 | No | 4 | A | Direct |
4,038,048 | 2015-06-30 | 2020-06-30 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
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 | $3.85 | 2012-04-15 | 2016-04-15 | 25,000 | 4,038,048 | Direct |
Common Stock | Stock Option | $3.85 | 2016-07-06 | 422,500 | 4,038,048 | Direct | |
Common Stock | Stock Option | $3.85 | 2013-04-15 | 2017-04-15 | 25,000 | 4,038,048 | Direct |
Common Stock | Stock Option | $2.48 | 2014-04-15 | 2018-04-15 | 25,000 | 4,038,048 | Direct |
Common Stock | Stock Option | $2.48 | 2013-06-30 | 2018-06-30 | 1,000,000 | 4,038,048 | Direct |
Common Stock | Stock Option | $2.48 | 2015-08-27 | 2019-08-27 | 150,000 | 4,038,048 | Direct |
Common Stock | Stock Option | $2.48 | 2019-08-27 | 500,000 | 4,038,048 | Direct | |
Common Stock | Warrant | $2.30 | 2012-10-31 | 2017-10-31 | 85,518 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2012-12-31 | 2017-12-31 | 18,939 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2013-03-31 | 2018-03-31 | 22,878 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2013-06-30 | 2018-06-30 | 2,460 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2013-09-30 | 2018-09-30 | 27,561 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2013-12-31 | 2018-12-31 | 36,031 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2014-03-31 | 2019-03-31 | 59,053 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2014-06-30 | 2019-06-30 | 58,834 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2014-09-30 | 2019-09-30 | 31 | 4,038,048 | Direct |
Common Stock | Warrant | $2.30 | 2014-12-30 | 2019-12-30 | 40,364 | 4,038,048 | Direct |
Common Stock | Warrant | $2.00 | 2014-12-30 | 2019-12-30 | 10,800 | 4,038,048 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2016-04-15 | 25,000 | 4,038,048 | Direct |
2016-07-06 | 422,500 | 4,038,048 | Direct |
2017-04-15 | 25,000 | 4,038,048 | Direct |
2018-04-15 | 25,000 | 4,038,048 | Direct |
2018-06-30 | 1,000,000 | 4,038,048 | Direct |
2019-08-27 | 150,000 | 4,038,048 | Direct |
2019-08-27 | 500,000 | 4,038,048 | Direct |
2017-10-31 | 85,518 | 4,038,048 | Direct |
2017-12-31 | 18,939 | 4,038,048 | Direct |
2018-03-31 | 22,878 | 4,038,048 | Direct |
2018-06-30 | 2,460 | 4,038,048 | Direct |
2018-09-30 | 27,561 | 4,038,048 | Direct |
2018-12-31 | 36,031 | 4,038,048 | Direct |
2019-03-31 | 59,053 | 4,038,048 | Direct |
2019-06-30 | 58,834 | 4,038,048 | Direct |
2019-09-30 | 31 | 4,038,048 | Direct |
2019-12-30 | 40,364 | 4,038,048 | Direct |
2019-12-30 | 10,800 | 4,038,048 | Direct |
Footnotes
- Shares held by Mr. Mathis' 401(k) account.
- Represents a distribution of shares held by The WOW Group, LLC in redemption of the membership interest of certain members of The WOW Group, LLC.
- 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.
- Expiration of options with no value received.
- Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 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.
- Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
- Expiration of warrants with no value received.
- This Form 4 is amended to include five warrants issued to Mr. Mathis and one option that expired that were inadvertently omitted from the original Form 4 as filed and corrects the total amount of beneficially owned derivative securities.
- 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.