SEC Form 4/A · accession 0001522690-16-000009
GWG Holdings, Inc. · GWGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
William Acheson
Officer — Chief Financial Officer
Period of report
Apr 29, 2016
Accepted (ET)
Jun 16, 2016 · 4:04 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 | holding | — | — | — | 0 | 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)F1 | $6.35 | Apr 29, 2016 | A | 5,000 | A | — | Apr 29, 2026 | Common Stock, $.001 par value | 5,000 | 5,000 | D |
| Stock Options (right to buy)F2 | $6.41 | May 13, 2016 | A | 5,000 | A | — | May 13, 2026 | Common Stock, $.001 par value | 5,000 | 5,000 | D |
Explanation of responses
- F11,667 shares vest on each of 04/29/2017 and 04/29/2018; 1,666 shares vest on 04/29/2019.
- F21,667 shares vest on each of 05/13/2017 and 05/13/2018; 1,666 shares vest on 05/13/2019.
Remarks
This Form 4/A correctly reports the vesting schedule for the Stock Options.