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