0001179110-14-014309.txt : 20140918
0001179110-14-014309.hdr.sgml : 20140918
20140918173935
ACCESSION NUMBER: 0001179110-14-014309
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140918
FILED AS OF DATE: 20140918
DATE AS OF CHANGE: 20140918
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SABES STEVEN F
CENTRAL INDEX KEY: 0001406756
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36615
FILM NUMBER: 141110661
MAIL ADDRESS:
STREET 1: 60 SOUTH SIXTH STREET, SUITE 950
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
3
1
edgar.xml
FORM 3 -
X0206
3
2014-09-18
0
0001522690
GWG Holdings, Inc.
GWGH
0001406756
SABES STEVEN F
220 SOUTH SIXTH STREET, SUITE 1200
MINNEAPOLIS
MN
55402
1
1
1
0
President and Secretary
Common Stock, $.001 par value
799779
D
Common Stock, $.001 par value
489086
I
By Opportunity Finance, LLC
Common Stock, $.001 par value
1072382
I
By Trusts
Stock Options (right to buy)
8.28
2023-09-05
Common Stock, $.001 par value
27500
D
A Minnesota limited liability company, of which the Reporting Person is a manager and member.
Held by certain trusts, of which the Reporting Person is a beneficiary.
25,000 shares are currently exercisable, the remaining 2,500 shares vest over 3 years.
Exhibit 24.1 Power of Attorney attached
/s/ William Acheson, as Attorney-in-fact
2014-09-18
EX-24.1
2
exhibit24.txt
POWER OF ATTORNEY
LIMITED POWER OF ATTORNEY
For Executing Form ID and Forms, 3, 4, 5 and 144
The undersigned hereby appoints each of Jon Gangelhoff and
William Acheson, signing singly, as the true and lawful attorney-in-fact
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 16th day of September, 2014.
/Steven F. Sabes/
Signature
Steven F. Sabes
Type or Print Name