|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 | ||||||||
Restricted Stock Unit | $ 0.807 | 08/11/2022 | A | 46,469 | (2) | 12/31/2022 | Common Stock | 46,469 | $ 0.807 | 46,469 | D | ||||
Restricted Stock Unit | $ 0.625 | (3) | 12/18/2023 | Common Stock | 1,433 | 1,433 | D | ||||||||
Warrants (4) | $ 6 | 08/19/2022 | J | 3,333 | 02/19/2021 | 08/19/2022 | Common Stock | 3,333 | $ 0 | 0 | D | ||||
Stock Option | $ 8.09 | (5) | 09/20/2023 | Common Stock | 1,000 | 1,000 | D | ||||||||
Stock Option | $ 9.08 | (6) | 09/28/2025 | Common Stock | 6,667 | 6,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cannon Reuben 280 S. BEVERLY DRIVE #208 BEVERLY HILLS,, CA 90212 |
X |
/s/ Reuben Cannon | 08/31/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Held by Reuben Cannon Productions, controlled by Mr. Cannon. |
(2) | Restricted stock units issued pursuant to Gaucho's 2018 Equity Incentive Plan; shares vest on the earlier of 12/31/22 or pro rata to termination of service as a director. |
(3) | Restricted stock units issued pursuant to Gaucho's 2018 Equity Incentive Plan; 717 shares vest on 9/18/22 with the remainder vesting on 12/18/22. |
(4) | Warrants expired with no value received. |
(5) | Options granted pursuant to 2018 Equity Incentive Plan; options to acquire 250 shares vest on 9/20/19; options to acquire 63 shares vest on 12/20/19; thereafter options to acquire 62 shares vest every three months. |
(6) | Options granted pursuant to Gaucho's 2018 Equity Incentive Plan; options to acquire 1,667 shares vest on 9/28/21; thereafter options to acquire 417 shares vest every three months. |