SEC Form 4 · accession 0001182489-18-000329
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Acheson
Officer — Chief Financial Officer
Period of report
Aug 16, 2018
Accepted (ET)
Sep 5, 2018 · 1:22 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, $.001 par value | Aug 16, 2018 | M | 5,000 | $7.92 | A | 5,000 | D | |
| Common Stock, $.001 par value | Aug 16, 2018 | F | 4,222 | $11.50 | D | 778 | D | |
| Common Stock, $.001 par value | Aug 16, 2018 | M | 5,000 | $9.01 | A | 5,778 | D | |
| Common Stock, $.001 par value | Aug 16, 2018 | F | 4,558 | $10.95 | D | 1,220 | D | |
| Common Stock, $.001 par value | Aug 16, 2018 | M | 30,000 | $8.00 | A | 31,220 | D | |
| Common Stock,$.001 par value | Aug 16, 2018 | F | 25,959 | $10.95 | D | 5,261 | D | |
| Common Stock, $.001 par value | Aug 16, 2018 | M | 5,000 | $9.25 | A | 10,261 | D | |
| Common Stock, $.001 par value | Aug 16, 2018 | F | 4,612 | $10.95 | D | 5,649 | D | |
| Common Stock, $.001 par value | Aug 20, 2018 | M | 90,000 | $7.53 | A | 95,649 | D | |
| Common Stock, $.001 par value | Aug 20, 2018 | F | 73,844 | $11.50 | D | 21,805 | D | |
| Common Stock, $.001 par value | Aug 20, 2018 | M | 32,500 | $7.46 | A | 54,305 | D | |
| Common Stock, $.001 par value | Aug 20, 2018 | M | 3,333 | $6.00 | A | 57,638 | D | |
| Common Stock, $.001 par value | Aug 20, 2018 | M | 3,333 | $6.35 | A | 60,971 | D | |
| Common Stock, $.001 par value | Aug 20, 2018 | M | 3,333 | $6.41 | A | 64,304 | 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) | $7.92 | Aug 16, 2018 | M | 5,000 | D | Sep 2, 2017 | Sep 1, 2024 | Common Stock | 5,000 | 0 | D |
| Stock Options (right to buy) | $9.01 | Aug 16, 2018 | M | 5,000 | D | Nov 24, 2017 | Nov 23, 2024 | Common Stock | 5,000 | 0 | D |
| Stock Options (right to buy) | $8.00 | Aug 16, 2018 | M | 30,000 | D | Mar 11, 2018 | Mar 10, 2025 | Common Stock | 30,000 | 0 | D |
| Stock Options (right to buy) | $9.25 | Aug 16, 2018 | M | 5,000 | D | Jun 12, 2018 | Jun 11, 2025 | Common Stock | 5,000 | 0 | D |
| Stock Options (right to buy) | $7.53 | Aug 20, 2018 | M | 90,000 | D | Apr 6, 2018 | Apr 5, 2025 | Common Stock | 90,000 | 0 | D |
| Stock Options (right to buy) | $7.46 | Aug 20, 2018 | M | 32,500 | D | May 27, 2017 | May 26, 2024 | Common Stock | 32,500 | 0 | D |
| Stock Options (right to buy) | $6.00 | Aug 20, 2018 | M | 3,333 | D | Dec 29, 2017 | Dec 28, 2025 | Common Stock | 3,333 | 1,667 | D |
| Stock Options (right to buy) | $6.35 | Aug 20, 2018 | M | 3,333 | D | Apr 30, 2018 | Apr 29, 2026 | Common Stock | 3,333 | 1,667 | D |
| Stock Options (right to buy) | $6.41 | Aug 20, 2018 | M | 3,333 | D | May 13, 2018 | May 13, 2026 | Common Stock | 3,333 | 1,667 | D |