0001179110-20-008455.txt : 20200723 0001179110-20-008455.hdr.sgml : 20200723 20200723165239 ACCESSION NUMBER: 0001179110-20-008455 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: LOCKHART DENNIS P CENTRAL INDEX KEY: 0001196261 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36615 FILM NUMBER: 201044108 MAIL ADDRESS: STREET 1: 100 GOLF ROAD CITY: GOLF STATE: IL ZIP: 60029 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 0001196261 LOCKHART DENNIS P 325 NORTH ST. PAUL STREET SUITE 2650 DALLAS TX 75201 1 0 0 0 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 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 5/21/2019. /s/ Craig Opp, as Attorney-in-Fact for Dennis P. Lockhart 2020-07-23