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