SEC Form 4/A · accession 0001179110-16-031121
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Shawn R Gensch
Director
Period of report
Oct 3, 2016
Accepted (ET)
Nov 3, 2016 · 1:56 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 | $8.93 | Oct 3, 2016 | J | 2,100 | D | Oct 3, 2016 | Oct 2, 2026 | Common Stock, $.001 par value | 2,100 | 0 | D |
Explanation of responses
- F1By Written Consent dated October 26, 2016, the Compensation Committee of the Board of Directors rescinded the October 3, 2016 grant to the Reporting Person. The Reporting Person accepted such rescission for no consideration.
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.