SEC Form 4 · accession 0001179110-17-005796
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
Mar 30, 2017
Accepted (ET)
Apr 6, 2017 · 11:40 am 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 | Mar 30, 2017 | M | 27,000 | $7.52 | A | 27,000 | D | |
| Common Stock, $.001 par value | Mar 30, 2017 | F | 18,065 | $11.24 | D | 8,936 | D | |
| Common Stock, $.001 par value | Mar 30, 2017 | D | 8,936 | $11.24 | D | 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 | $7.52 | Mar 30, 2017 | M | 27,000 | D | — | Sep 5, 2023 | Common Stock, $.001 par value | 27,000 | 50,000 | D |
Explanation of responses
- F1Option became fully exercisable on 9/5/2016.
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.