SEC Form 5 · accession 0001179110-15-001353

GWG Holdings, Inc. · GWGH

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — Chief Executive Officer · Director · 10% Owner

Period of report

Dec 31, 2014

Accepted (ET)

Jan 29, 2015 · 4:43 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001522690

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, $.001 par value^F1	Dec 30, 2014	G	15,000	—	D	1,077,276	D
Common Stock, $.001 par value^F2	holding	—	—		—	489,086	I	By Opportunity Finance, LLC
Common Stock, $.001 par value^F3	holding	—	—		—	743,842	I	By Trusts
Common Stock, $.001 par value	holding	—	—		—	102,191	I	By family members who reside in the Reporting Person's Household
Common Stock, $.01 par value^F4	holding	—	—		—	100,000	I	By Insurance Strategies Fund, LLC

No Table II lines on this filing.

F1The reported transaction is a gift to a charitable organization and is subject to an agreement whereby the charity may not sell the shares for at least two years.
F2A Minnesota limited liability company, of which the Reporting Person is a manager and member.
F3Held by certain trusts, of which the Reporting Person is a beneficiary.
F4A 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.

Power of Attorney filed on 9/19/2014.