SEC Form 4 · accession 0001179110-16-030331
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
Jeffrey L. McGregor
Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 4, 2016 · 5:29 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) | $8.93 | Oct 3, 2016 | A | 2,800 | A | Oct 3, 2016 | Oct 2, 2026 | Common Stock, $.001 par value | 2,800 | 2,800 | D |
| Stock Options (right to buy)F1 | $8.93 | Oct 3, 2016 | A | 4,200 | A | — | Oct 2, 2026 | Common Stock, $.001 par value | 4,200 | 4,200 | D |
Explanation of responses
- F1Option vests in increments of 350 shares each on a quarterly basis over three years with the first installment beginning on the date of grant.
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.