SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ACHESON WILLIAM

(Last) (First) (Middle)
220 SOUTH SIXTH STREET, SUITE 1200

(Street)
MINNEAPOLIS MN 55402

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GWG Holdings, Inc. [ GWGH ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/16/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $.001 par value 08/16/2018 M 5,000 A $7.92 5,000 D
Common Stock, $.001 par value 08/16/2018 F 4,222 D $11.5 778 D
Common Stock, $.001 par value 08/16/2018 M 5,000 A $9.01 5,778 D
Common Stock, $.001 par value 08/16/2018 F 4,558 D $10.95 1,220 D
Common Stock, $.001 par value 08/16/2018 M 30,000 A $8 31,220 D
Common Stock,$.001 par value 08/16/2018 F 25,959 D $10.95 5,261 D
Common Stock, $.001 par value 08/16/2018 M 5,000 A $9.25 10,261 D
Common Stock, $.001 par value 08/16/2018 F 4,612 D $10.95 5,649 D
Common Stock, $.001 par value 08/20/2018 M 90,000 A $7.53 95,649 D
Common Stock, $.001 par value 08/20/2018 F 73,844 D $11.5 21,805 D
Common Stock, $.001 par value 08/20/2018 M 32,500 A $7.46 54,305 D
Common Stock, $.001 par value 08/20/2018 M 3,333 A $6 57,638 D
Common Stock, $.001 par value 08/20/2018 M 3,333 A $6.35 60,971 D
Common Stock, $.001 par value 08/20/2018 M 3,333 A $6.41 64,304 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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
Stock Options (right to buy) $7.92 08/16/2018 M 5,000 09/02/2017 09/01/2024 Common Stock 5,000 $0 0 D
Stock Options (right to buy) $9.01 08/16/2018 M 5,000 11/24/2017 11/23/2024 Common Stock 5,000 $0 0 D
Stock Options (right to buy) $8 08/16/2018 M 30,000 03/11/2018 03/10/2025 Common Stock 30,000 $0 0 D
Stock Options (right to buy) $9.25 08/16/2018 M 5,000 06/12/2018 06/11/2025 Common Stock 5,000 $0 0 D
Stock Options (right to buy) $7.53 08/20/2018 M 90,000 04/06/2018 04/05/2025 Common Stock 90,000 $0 0 D
Stock Options (right to buy) $7.46 08/20/2018 M 32,500 05/27/2017 05/26/2024 Common Stock 32,500 $0 0 D
Stock Options (right to buy) $6 08/20/2018 M 3,333 12/29/2017 12/28/2025 Common Stock 3,333 $0 1,667 D
Stock Options (right to buy) $6.35 08/20/2018 M 3,333 04/30/2018 04/29/2026 Common Stock 3,333 $0 1,667 D
Stock Options (right to buy) $6.41 08/20/2018 M 3,333 05/13/2018 05/13/2026 Common Stock 3,333 $0 1,667 D
Explanation of Responses:
/s/ William Acheson 09/04/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.