SEC Form 4/A · accession 0001179110-17-006962
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
Steven F Sabes
Officer — Exec VP & Secretary · Director · 10% Owner
Period of report
Dec 23, 2016
Accepted (ET)
May 10, 2017 · 11:19 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 valueF1 | Dec 23, 2016 | J | 1,072,382 | $0.00 | D | 0 | I | By Trusts |
| Common Stock, $.001 par valueF4 | Dec 23, 2016 | J | 1,072,382 | $0.00 | A | 1,072,382 | I | By SFS Holdings, LLC |
| Common Stock, $.001 par value | holding | — | — | — | 1,044,322 | D | ||
| Common Stock, $.001 par valueF2 | holding | — | — | — | 100,000 | I | By Insurance Strategies Fund, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held by certain trusts, of which the Reporting Person is a beneficiary.
- F2A Delaware limited liability company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manager. The Reporting Person disclaims beneficial ownership of the shares held by Insurance Strategies Fund, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose.
- F3Shares transferred from Trusts to SFS Holdings, LLC.
- F4A Nevada limited liability company, of which the reporting person is sole manager.
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.