Filing Details
- Accession Number:
- 0001179110-14-014578
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-26 15:22:29
- Reporting Period:
- 2014-09-24
- Filing Date:
- 2014-09-26
- Accepted Time:
- 2014-09-26 15:22:29
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1522690 | Gwg Holdings Inc. | GWGH | Life Insurance (6311) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1329728 | Jon Sabes | 220 South Sixth Street, Suite 1200 Minneapolis MN 55402 | Chief Executive Officer | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, $.001 Par Value | Acquisiton | 2014-09-24 | 100,000 | $12.50 | 100,000 | No | 4 | P | Indirect | By Insurance Strategies Fund, LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Insurance Strategies Fund, LLC |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, $.001 Par Value | 1,092,276 | Direct | |
Common Stock, $.001 Par Value | 489,086 | Indirect | By Opportunity Finance, LLC |
Common Stock, $.001 Par Value | 743,840 | Indirect | By Trusts |
Common Stock, $.001 Par Value | 102,191 | Indirect | By family members who reside in the Reporting Person's household |
Footnotes
- A Minnesota limited liability company, of which the Reporting Person is a manager and member.
- Held by certain trusts, of which the Reporting Person is a beneficiary.
- A 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.