0001179110-14-014588.txt : 20140926
0001179110-14-014588.hdr.sgml : 20140926
20140926162425
ACCESSION NUMBER: 0001179110-14-014588
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140918
FILED AS OF DATE: 20140926
DATE AS OF CHANGE: 20140926
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36615
FILM NUMBER: 141124299
MAIL ADDRESS:
STREET 1: 60 SOUTH SIXTH STREET, SUITE 950
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
3/A
1
edgar.xml
FORM 3/A -
X0206
3/A
2014-09-18
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
Stock Options (right to buy)
8.20
2024-04-06
Common Stock
5000
D
Stock Options (right to buy)
8.71
2024-09-01
Common Stock
5000
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.
25,834 shares are currently exercisable, the remaining shares vest as follows: 833 on 9/5/2015 and 833 on 9/5/2016.
1,667 shares vest on 4/7/2015 and 4/7/2016, 1,666 shares vest on 4/7/2017.
1,667 shares vest on 9/2/2015 and 9/2/2016, 1,666 shares vest on 9/2/2017.
Power of Attorney filed on 9/18/2014.
/s/ William Acheson, as Attorney-in-fact
2014-09-26