0001182489-18-000328.txt : 20180905
0001182489-18-000328.hdr.sgml : 20180905
20180905132206
ACCESSION NUMBER: 0001182489-18-000328
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180821
FILED AS OF DATE: 20180905
DATE AS OF CHANGE: 20180905
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: 181054685
MAIL ADDRESS:
STREET 1: 60 SOUTH SIXTH STREET, SUITE 950
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
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
4
1
edgar.xml
FORM 4 -
X0306
4
2018-08-21
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
100000
I
By Insurance Strategies Fund, LLC
Common Stock, $.001 par value
1072382
I
By SFS Holdings, LLC
Common Stock, $.001 par value
2018-08-21
4
M
0
27500
8.28
A
1071822
D
CommonStock, $.001 par value
2018-08-21
4
F
0
23710
11.05
D
1048112
D
Common Stock, $.001 par value
2018-08-21
4
M
0
5000
8.20
A
1053112
D
Common Stock, $.001 par value
2018-08-21
4
F
0
4291
11.05
D
1048821
D
Common Stock, $.001 par value
2018-08-21
4
M
0
5000
8.71
A
1053821
D
Common Stock, $.001 par value
2018-08-21
4
F
0
4440
11.05
D
1049381
D
Common Stock, $.001 par value
2018-08-21
4
M
0
5000
9.01
A
1054381
D
Common Stock, $.001 par value
2018-08-21
4
F
0
4539
11.05
D
1049842
D
Common Stock, $.001 par value
2018-08-21
4
M
0
2500
10.18
A
1052342
D
Common Stock, $.001 par value
2018-08-21
4
F
0
2402
11.05
D
1049940
D
Common Stock, $.001 par value
2018-08-21
4
M
0
5000
8.55
A
1054940
D
Common Stock, $.001 par value
2018-08-21
4
F
0
4435
11.05
D
1050505
D
Common Stock, $.001 par value
2018-08-21
4
M
0
3333
6.60
A
1053838
D
Common Stock, $.001 par value
2018-08-21
4
F
0
2662
11.05
D
1051176
D
Common Stock, $.001 par value
2018-08-21
4
M
0
3333
6.35
A
1054509
D
Common Stock, $.001 par value
2018-08-21
4
F
0
2625
11.05
D
1051884
D
Common Stock, $.001 par value
2018-08-21
4
M
0
3333
6.41
A
1055217
D
Common Stock, $.001 par value
2018-08-21
4
F
0
2634
11.05
D
1052583
D
Common Stock, $.001 par value
2018-08-21
4
M
0
1667
9.64
A
1054250
D
Common Stock, $.001 par value
2018-08-21
4
F
0
1561
11.05
D
1052689
D
Common Stock, $.001 par value
2018-08-21
4
M
0
1667
10.38
A
1054356
D
Common Stock, $.001 par value
2018-08-21
4
F
0
1617
11.05
D
1052739
D
Stock Options (right to buy)
8.28
2018-08-21
4
M
0
27500
0
D
2016-09-05
2018-09-05
Common Stock
27500
0
D
Stock Options (right to buy)
8.20
2018-08-21
4
M
0
5000
0
D
2017-04-07
2019-04-01
Common Stock
5000
0
D
Stock Options (right to buy)
8.71
2018-08-21
4
M
0
5000
0
D
2017-09-02
2019-09-02
Common Stock
5000
0
D
Stock Options (right to buy)
9.01
2018-08-21
4
M
0
5000
0
D
2017-11-24
2019-11-24
Common Stock
5000
0
D
Stock Options (right to buy)
10.18
2018-08-21
4
M
0
2500
0
D
2018-06-12
2020-06-12
Common Stock
2500
0
D
Stock Options (right to buy)
8.55
2018-08-21
4
M
0
5000
0
D
2018-08-18
2020-08-18
Common Stock
5000
0
D
Stock Options (right to buy)
6.60
2018-08-21
4
M
0
3333
0
D
2017-12-29
2020-12-29
Common Stock
3333
1667
D
Stock Options (right to buy)
6.35
2018-08-21
4
M
0
3333
0
D
2018-04-29
2021-04-29
Common Stock
3333
1667
D
Stock Options (right to buy)
6.41
2018-08-21
4
M
0
3333
0
D
2018-05-13
2021-05-13
Common Stock
3333
1667
D
Stock Options (right to buy)
9.64
2018-08-21
4
M
0
1667
0
D
2017-09-19
2021-09-19
Common Stock
1667
3333
D
Stock Options (right to buy)
10.38
2018-08-21
4
M
0
1667
0
D
2018-04-18
2022-04-18
Common STock
1667
3333
D
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.
A Nevada limited liability company, of which the reporting person is sole manager.
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 Steven F. Sabes
2018-09-04