SEC Form 4 · accession 0001179110-17-003271
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Edward Schwarzmann
Director
Period of report
Feb 17, 2017
Accepted (ET)
Feb 27, 2017 · 5:09 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 | 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 Option (right to buy)F1 | $9.50 | Feb 17, 2017 | A | 8,400 | A | — | Feb 16, 2027 | Common Stock | 8,400 | 8,400 | D |
Explanation of responses
- F12,100 shares vest on each of 2/17/2017, 5/17,2017, 8/17/2017 and 11/17/2017.