0001179110-15-013720.txt : 20151002 0001179110-15-013720.hdr.sgml : 20151002 20151002165643 ACCESSION NUMBER: 0001179110-15-013720 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150818 FILED AS OF DATE: 20151002 DATE AS OF CHANGE: 20151002 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36615 FILM NUMBER: 151141106 MAIL ADDRESS: STREET 1: 60 SOUTH SIXTH STREET, SUITE 950 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 4 1 edgar.xml FORM 4 - X0306 4 2015-08-18 0 0001522690 GWG Holdings, Inc. GWGH 0001406756 SABES STEVEN F 220 SOUTH SIXTH STREET, SUITE 1200 MINNEAPOLIS MN 55402 1 1 1 0 Exec VP & 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 Common Stock, $.001 par value 100000 I By Insurance Strategies Fund, LLC Stock Options (right to buy) 8.55 2015-08-18 4 A 0 5000 0 A 2025-08-17 Common Stock, $.001 par value 5000 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. 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. 1,667 shares vest on each of 8/18/2016 and 8/18/2017; 1,666 shares vest on 8/18/2018. Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014. /s/ William Acheson, as Attorney-in-fact for Steven F. Sabes 2015-10-02