0001179110-19-001850.txt : 20190213
0001179110-19-001850.hdr.sgml : 20190213
20190213172346
ACCESSION NUMBER: 0001179110-19-001850
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190213
DATE AS OF CHANGE: 20190213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sabes Jon
CENTRAL INDEX KEY: 0001329728
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36615
FILM NUMBER: 19598786
MAIL ADDRESS:
STREET 1: 701 NORTH THIRD STREET
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55401
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GWG Holdings, Inc.
CENTRAL INDEX KEY: 0001522690
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 220 SOUTH SIXTH STREET
STREET 2: SUITE 1200
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
BUSINESS PHONE: 877-494-2388
MAIL ADDRESS:
STREET 1: 220 SOUTH SIXTH STREET
STREET 2: SUITE 1200
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
5
1
edgar.xml
FORM 5 -
X0306
5
2018-12-31
0
0
0
0001522690
GWG Holdings, Inc.
GWGH
0001329728
Sabes Jon
220 SOUTH SIXTH STREET, SUITE 1200
MINNEAPOLIS
MN
55402
1
1
0
0
Chief Executive Officer
Common Stock
743840
I
By Trusts
Common Stock
102191
I
By family members who reside in the Reporting Person's Household
Common Stock
100000
I
By Insurance Strategies Fund, LLC
Common Stock
2018-12-07
5
G
0
100000
0
D
1129546
D
Held by certain trusts, of which the Reporting Person is a beneficiary.
A Delaware limited liability company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manager. The Reporting Person disclaims beneficial ownership of the shares held by Insurance Strategies Fund, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose.
Exhibit 24.1 updated Power of Attorney form attached.
/s/ Craig Opp, as Attorney-in -fact for Jon Sabes
2019-02-13
EX-24.1
2
jonsabes.txt
POWER OF ATTORNEY
LIMITED POWER OF ATTORNEY
For Executing Form ID and Forms, 3, 4, 5 and 144
The undersigned hereby appoints William Acheson and Craig Opp,
as the true and lawful attorney-in-facts, signing singly, for the
undersigned, for such period of time that the undersigned is
required to file reports pursuant to Section 16(a) of the
Securities Exchange Act of 1934, as amended (the "Exchange Act"),
or Rule 144 of the Securities Act of 1933, as amended (the
"Securities Act"), due to the undersigned's affiliation with GWG
Holdings, Inc., a Delaware corporation (the "Company"), unless
earlier revoked by the undersigned in a signed writing delivered to
the foregoing attorneys-in-fact, to:
(1) execute for and on behalf of the undersigned Form ID (Uniform
Application for Access Codes to file on EDGAR) and Forms 3, 4,
5 and 144 and any amendments to previously filed forms in
accordance with Section 16(a) of the Exchange Act or Rule 144
of the Securities Act and the rules thereunder.
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete
the execution of any such Form ID and Forms 3, 4, 5 and 144
and the timely filing of such form with the United States
Securities and Exchange Commission and any other authority as
required by law; and
(3) take any other action of any type whatsoever in connection
with the foregoing which, in the opinion of such attorney-in-
fact, may be of benefit to, in the best interest of, or
legally required by, the undersigned, it being understood that
the documents executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Limited Power of Attorney
shall be in such form and shall contain such terms and
conditions as such attorney-in-fact may approve in his or her
discretion.
The undersigned hereby grants to each such attorney-in-fact
full power and authority to do and perform all and every act and
thing whatsoever requisite, necessary and proper to be done in the
exercise of any of the rights and powers herein granted, as fully
to all intents and purposes as the undersigned could do if
personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or
his or her substitute or substitutes, shall lawfully do or cause to
be done by virtue of this Limited Power of Attorney and the rights
and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming any of the
undersigned's responsibilities to comply with Section 16 of the
Exchange Act or Rule 144 of the Securities Act.
This Limited Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to file Forms
144, Forms 3, 4 and 5 with respect to the undersigned's holdings of
and transactions in securities issued by the Company unless earlier
revoked by the undersigned in a writing delivered to the foregoing
attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Limited
Power of Attorney to be executed as of this 19 day of December,
2018.
___/s/ Jon Sabes__________
Signature
Jon Sabes
Type or Print Name
dms.us.53457609.01