SEC Form 4 · accession 0001179110-16-017132
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon Gangelhoff
Officer — Chief Operating Officer
Period of report
Dec 29, 2015
Accepted (ET)
Jan 5, 2016 · 5:28 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 | 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 | $7.77 | Dec 29, 2015 | A | 5,000 | A | — | Dec 29, 2025 | Common Stock, $.001 par value | 5,000 | 5,000 | D |
Explanation of responses
- F11,667 shares vest on each of 12/29/2016 and 12/29/2017; 1,666 shares vest on 12/29/2018.
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.