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