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
  1. Shares held by Mr. Mathis' 401(k) account.
  2. 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.
  3. Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
  4. Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
  5. Expiration of options with no value received.
  6. Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months.
  7. Options to acquire 105,625 vested on July 6, 2012; thereafter options to acquire 26,409 shares vest every three months.
  8. Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
  9. Expiration of warrants with no value received.
  10. 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.
  11. 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.