SEC Form 4 · accession 0001179110-15-010793
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Acheson
Officer — Chief Financial Officer
Period of report
Apr 6, 2015
Accepted (ET)
Jul 2, 2015 · 4:44 pm EDT
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 | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $7.53 | Apr 6, 2015 | A | 90,000 | A | — | Apr 5, 2025 | Common Stock, $.001 par value | 90,000 | 90,000 | D |
| Stock Options (right to buy)F2 | $9.25 | Jun 12, 2015 | A | 5,000 | A | — | Jun 11, 2025 | Common Stock, $.001 par value | 5,000 | 5,000 | D |
Explanation of responses
- F130,000 shares vest on each of 4/6/2016, 4/6/2017 and 4/6/2018.
- F21,667 shares vest on each of 6/12/2016 and 6/12/2017; 1,666 shares vest on 6/12/2018.