0001179110-17-003271.txt : 20170227 0001179110-17-003271.hdr.sgml : 20170227 20170227170926 ACCESSION NUMBER: 0001179110-17-003271 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170217 FILED AS OF DATE: 20170227 DATE AS OF CHANGE: 20170227 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GWG Holdings, Inc. CENTRAL INDEX KEY: 0001522690 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 220 SOUTH SIXTH STREET STREET 2: SUITE 1200 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 877-494-2388 MAIL ADDRESS: STREET 1: 220 SOUTH SIXTH STREET STREET 2: SUITE 1200 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwarzmann Mark Edward CENTRAL INDEX KEY: 0001335386 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36615 FILM NUMBER: 17642946 MAIL ADDRESS: STREET 1: AMERIPRISE FINANCIAL, INC. STREET 2: 707 SECOND AVENUE SOUTH CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2017-02-17 0 0001522690 GWG Holdings, Inc. GWGH 0001335386 Schwarzmann Mark Edward 220 SOUTH SIXTH STREET SUITE 1200 MINNEAPOLIS MN 55402 1 0 0 0 Common Stock 0 D Stock Option (right to buy) 9.50 2017-02-17 4 A 0 8400 0 A 2027-02-16 Common Stock 8400 8400 D 2,100 shares vest on each of 2/17/2017, 5/17,2017, 8/17/2017 and 11/17/2017. /s/ Mark E. Schwarzmann 2017-02-27