HICKS THOMAS O 4
4 · GWG Holdings, Inc. · Filed Jun 20, 2019
Insider Transaction Report
Form 4
HICKS THOMAS O
Director
Transactions
- Award
Restricted Stock Units
2019-06-18+8,169→ 8,169 totalFrom: 2020-06-18→ Common Stock (8,169 underlying)
Holdings
- 0
Common Stock, $.001 par value
- 1,452,155(indirect: by AltiVerse Capital Markets, L.L.C.)
Common Stock, $.001 par value
Footnotes (2)
- [F1]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.
- [F2]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.