SEC Form 3 · accession 0001213900-19-000309
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 28, 2018
Accepted (ET)
Jan 7, 2019 · 5:05 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 StockF3,F1,F2 | holding | — | — | — | 0 | I | As Trust Advisor for Trusts listed in |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Hinkle and Mr. Holland are filing in their capacity as Trust Advisors to each of The LT-1 Exchange Trust, The LT-2 Exchange Trust, The LT-3 Exchange Trust, The LT-4 Exchange Trust, The LT-5 Exchange Trust, The LT-6 Exchange Trust, The LT-7 Exchange Trust, The LT-8 Exchange Trust, The LT-9 Exchange Trust, The LT-12 Exchange Trust, The LT-14 Exchange Trust, The LT-15 Exchange Trust, The LT-16 Exchange Trust, The LT-17 Exchange Trust, The LT-18 Exchange Trust, The LT-19 Exchange Trust, The LT-20 Exchange Trust, The LT-21 Exchange Trust, The LT-22 Exchange Trust, The LT-23 Exchange Trust, The LT-24 Exchange Trust, The LT-25 Exchange Trust, and The LT-26 Exchange Trust, which collectively hold an aggregate of 25,913,516 shares of Common Stock of the Issuer. (footnote 1 continued to footnote 2)
- F2(Continued from foonote 1) None of the trusts individually holds in excess of 10% of the outstanding shares of the Issuer. The Trust Advisors have sole decision-making authority with respect to each of the Trusts, and each of the Trust Advisors has joint and several voting power and dispositive power with the other Trust Advisor with respect to the shares of Common Stock held by each of the Trusts.
- F3The Trust Advisors have no pecuniary interest in these shares of Common Stock.
Remarks
Jointly filed by Murray T. Holland, as Trust Advisor.