SEC Form 4 · accession 0001179110-16-029890
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn R Gensch
Director
Period of report
Jul 1, 2016
Accepted (ET)
Sep 21, 2016 · 12:54 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) | $7.00 | Jul 1, 2016 | A | 1,500 | A | Jul 1, 2016 | Jun 30, 2026 | Common Stock, $.001 par value | 1,500 | 1,500 | D |
| Stock Options (right to buy)F1 | $6.74 | Jul 22, 2016 | A | 25,200 | A | — | Jul 21, 2016 | Common Stock | 25,200 | 25,200 | D |
Explanation of responses
- F1Option vests in increments of 2,100 shares each on a quarterly basis over three years beginning on October 1, 2016.
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.