SEC Form 4 · accession 0001182489-18-000332

GWG Holdings, Inc. · GWGH

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director · 10% Owner

Period of report

Aug 22, 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 22, 2018	M	6,000	$8.28	A	1,234,319	D
Common Stock, $.001 par value	Aug 22, 2018	F	4,773	$11.70	D	1,229,546	D
Common Stock, $.001 par value^F1	holding	—	—		—	743,840	I	By Trusts
Common Stock, $.001 par value	holding	—	—		—	102,191	I	By family members who reside in the Reporting Person's household
Common Stock, $.001 par value^F2	holding	—	—		—	100,000	I	By Insurance Strategies Fund, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options (right to buy)	$8.28	Aug 22, 2018	M	6,000	A	Sep 5, 2016	Sep 5, 2018	Common Stock	6,000	0	D

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.

Power of attorney filed on 9/19/2014.