0001179110-19-007965.txt : 20190620 0001179110-19-007965.hdr.sgml : 20190620 20190620162303 ACCESSION NUMBER: 0001179110-19-007965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190618 FILED AS OF DATE: 20190620 DATE AS OF CHANGE: 20190620 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HICKS THOMAS O CENTRAL INDEX KEY: 0000938201 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36615 FILM NUMBER: 19908807 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75201 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 4 1 edgar.xml FORM 4 - X0306 4 2019-06-18 0 0001522690 GWG Holdings, Inc. GWGH 0000938201 HICKS THOMAS O 220 SOUTH 6TH STREET SUITE 1200 MINNEAPOLIS MN 55402 1 0 0 0 Common Stock, $.001 par value 0 D Common Stock, $.001 par value 1452155 I by AltiVerse Capital Markets, L.L.C. Restricted Stock Units 2019-06-18 4 A 0 8169 0 A 2020-06-18 Common Stock 8169 8169 D AltiVerse Capital Markets, L.L.C. ("AltiVerse") is a Delaware limited liability company for which Hicks Holdings Operating LLC, a Delaware limited liability company ("Hicks Holding"), serves as Manager. Thomas O. Hicks serves as sole manager of Hicks Holdings. As a result, Mr. Hicks may be deemed to beneficially own the shares of GWG Holdings, Inc. common stock owned by AltiVerse. Mr. Hicks disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Vested shares are delivered to the reporting person upon vesting. Exhibit 24.1 Power of Attorney filed with Reporting Person's Form 3 on 5/6/2019. /s/ Craig Opp, as Attorney-in-Fact 2019-06-20