SEC Form 4 · accession 0001179110-18-006692
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Edward Schwarzmann
Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 1:35 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 | 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) | $8.00 | May 10, 2018 | A | 2,100 | A | May 10, 2018 | May 9, 2028 | Common Stock | 2,100 | 2,100 | D |
| Stock Option (right to buy)F1 | $8.00 | May 10, 2018 | A | 16,800 | A | — | May 9, 2028 | Common Stock | 16,800 | 16,800 | D |
Explanation of responses
- F12,100 shares vest on each of 5/10/2018, 7/1/2018, 10/1/2018, 1/1/2019, 4/1/2019, 7/1/2019, 10/1/2019, and 1/1/2020.
Remarks
Power of Attorney form attached hereto as Exhibit 24.1