SEC Form 4 · accession 0001182489-18-000331
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David H Abramson
Director
Period of report
Aug 21, 2018
Accepted (ET)
Sep 5, 2018 · 1:31 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 21, 2018 | M | 30,000 | $7.52 | A | 30,000 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 25,180 | $11.05 | D | 4,820 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 5,000 | $7.52 | A | 9,820 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 4,197 | $11.05 | D | 5,623 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $7.46 | A | 8,123 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,092 | $11.05 | D | 6,031 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $7.46 | A | 8,531 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,092 | $11.05 | D | 6,439 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $10.25 | A | 8,939 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,410 | $11.05 | D | 6,529 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $6.76 | A | 9,029 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,012 | $11.05 | D | 7,017 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $7.75 | A | 9,517 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,125 | $11.05 | D | 7,392 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $8.95 | A | 9,892 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,261 | $11.05 | D | 7,631 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $8.45 | A | 10,131 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,204 | $11.05 | D | 7,927 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $6.44 | A | 10,427 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 1,976 | $11.05 | D | 8,451 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $6.17 | A | 10,951 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 1,945 | $11.05 | D | 9,006 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 2,500 | $7.00 | A | 11,506 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 2,039 | $11.05 | D | 9,467 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | M | 28,000 | $6.74 | A | 37,467 | D | |
| Common Stock, $.001 par value | Aug 21, 2018 | F | 22,507 | $11.05 | D | 14,960 | 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) | $7.52 | Aug 21, 2018 | M | 30,000 | D | Jul 1, 2016 | Oct 28, 2023 | Common Stock, $.001 par value | 30,000 | 0 | D |
| Stock Options (right to buy) | $7.52 | Aug 21, 2018 | M | 5,000 | D | Jan 1, 2014 | Jan 1, 2024 | Common Stock | 5,000 | 0 | D |
| Stock Options (right to buy) | $7.46 | Aug 21, 2018 | M | 2,500 | D | Apr 1, 2014 | Mar 31, 2024 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $7.46 | Aug 21, 2018 | M | 2,500 | D | Jul 1, 2014 | Jun 30, 2024 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $10.25 | Aug 21, 2018 | M | 2,500 | D | Oct 1, 2014 | Sep 30, 2024 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $6.76 | Aug 21, 2018 | M | 2,500 | D | Jan 1, 2015 | Dec 31, 2024 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $7.75 | Aug 21, 2018 | M | 2,500 | D | Apr 1, 2015 | Mar 31, 2025 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $8.95 | Aug 21, 2018 | M | 2,500 | D | Jul 1, 2015 | Jun 30, 2025 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $8.45 | Aug 21, 2018 | M | 2,500 | D | Oct 1, 2015 | Sep 30, 2025 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $6.44 | Aug 21, 2018 | M | 2,500 | D | Jan 1, 2016 | Dec 31, 2025 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $6.17 | Aug 21, 2018 | M | 2,500 | D | Apr 1, 2016 | Apr 1, 2026 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $7.00 | Aug 21, 2018 | M | 2,500 | D | Jul 1, 2016 | Jul 1, 2026 | Common Stock | 2,500 | 0 | D |
| Stock Options (right to buy) | $6.74 | Aug 21, 2018 | M | 28,000 | D | Jul 1, 2018 | Jul 22, 2026 | Common Stock | 28,000 | 14,000 | D |
Remarks
Exhibit 24.1 Power of Attorney previously filed and incorporated herein by reference to Form 3 filed on 9/18/2014.