SEC Form 5 · accession 0001179110-19-001849
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven F Sabes
Officer — Exec VP & Secretary · Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 13, 2019 · 5:22 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 | Dec 7, 2018 | G | 100,000 | $0.00 | D | 952,739 | D | |
| Common StockF3 | Dec 7, 2018 | J | 48,544 | — | D | 904,195 | D | |
| Common StockF1 | holding | — | — | — | 100,000 | I | By Insurance Strategies Fund, LLC | |
| Common StockF2 | holding | — | — | — | 1,072,382 | I | By SFS Holdings, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1A Delaware limited liability Company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manger. 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.
- F2A Nevada limited liability company, of which the Reporting Person is sole manager.
- F3Pursuant to divorce decree
Remarks
Exhibit 24.1 updated Power of Attorney form attached.