0001179110-16-028519.txt : 20160810 0001179110-16-028519.hdr.sgml : 20160810 20160810170943 ACCESSION NUMBER: 0001179110-16-028519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160727 FILED AS OF DATE: 20160810 DATE AS OF CHANGE: 20160810 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 Jon CENTRAL INDEX KEY: 0001329728 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36615 FILM NUMBER: 161822215 MAIL ADDRESS: STREET 1: 701 NORTH THIRD STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55401 4 1 edgar.xml FORM 4 - X0306 4 2016-07-27 0 0001522690 GWG Holdings, Inc. GWGH 0001329728 Sabes Jon 220 SOUTH SIXTH STREET, SUITE 1200 MINNEAPOLIS MN 55402 1 1 1 0 Chief Executive Officer Common Stock, $.001 par value 2016-07-27 5 J 0 E 489086 D 0 I By Opportunity Finance, LLC Common Stock, $.001 par value 2016-07-27 5 J 0 E 244543 A 1290819 D Common Stock, $.001 par value 743840 I By Trusts Common Stock, $.001 par value 102191 I By family members who reside in the Reporting Person's household Common Stock, $.001 par value 100000 I By Insurance Strategies Fund, LLC Shares acquired upon a distribution from Opportunity Finance, LLC, a Minnesota limited liability company, of which the Reporting Person is a manager and a 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. Jon R. Sabes 2016-08-08