0001179110-16-017124.txt : 20160105
0001179110-16-017124.hdr.sgml : 20160105
20160105172700
ACCESSION NUMBER: 0001179110-16-017124
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151229
FILED AS OF DATE: 20160105
DATE AS OF CHANGE: 20160105
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: 161323773
MAIL ADDRESS:
STREET 1: 60 SOUTH SIXTH STREET, SUITE 950
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
4
1
edgar.xml
FORM 4 -
X0306
4
2015-12-29
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
2015-12-29
4
A
0
5000
0
A
2025-12-29
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 12/29/2016 and 12/29/2017; 1,666 shares vest on 12/29/2018.
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
2016-01-04