0001179110-20-008448.txt : 20200723 0001179110-20-008448.hdr.sgml : 20200723 20200723165040 ACCESSION NUMBER: 0001179110-20-008448 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200618 FILED AS OF DATE: 20200723 DATE AS OF CHANGE: 20200723 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Heppner Brad K CENTRAL INDEX KEY: 0001776029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36615 FILM NUMBER: 201044084 MAIL ADDRESS: STREET 1: 325 N SAINT PAUL STREET STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 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: 325 N. ST. PAUL STREET STREET 2: SUITE 2650 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 877-494-2388 MAIL ADDRESS: STREET 1: 325 N. ST. PAUL STREET STREET 2: SUITE 2650 CITY: DALLAS STATE: TX ZIP: 75201 4 1 edgar.xml FORM 4 - X0306 4 2020-06-18 0 0001522690 GWG Holdings, Inc. GWGH 0001776029 Heppner Brad K 325 N. SAINT PAUL STREET SUITE 4850 DALLAS TX 75201 1 0 0 0 Common Stock, $.001 par value 2500000 I By Beneficiant Capital Company, L.L.C. Common Stock, $.001 par value 2020-06-18 4 M 0 8169 0 A 8169 D Restricted Stock Units 2020-06-18 4 M 0 8169 0 D 2020-06-18 Common Stock 8169 0 D Beneficient Capital Company, L.L.C., a Delaware limited liability company ("BEN Capital") is a wholly-owned subsidiary of Beneficient Company Holdings, L.P., a Delaware limited partnership ("BEN Holdings"). BEN Holdings is also the managing member of BEN Capital. BEN Holdings is controlled by its general partner, The Beneficient Company Group, L.P, a Delaware limited partnership ("BEN"). BEN is controlled by its general partner, Beneficient Management, L.L.C., a Delaware limited liability company ("BEN Management"). Brad K. Heppner serves as Director, Chairman and Chief Executive Officer of BEN Management. As a result, Mr. Heppner may be deemed to beneficially the shares of GWG Holdings, Inc. common stock owned by BEN Capital. Mr. Heppner disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. Exhibit 24.1 Power of Attorney filed with Reporting Person's Form 3 on 5/8/2019. /s/ Craig Opp as attorney-in-fact 2020-07-22