HICKS THOMAS O 4
4 · GWG Holdings, Inc. · Filed Jul 23, 2020
Insider Transaction Report
Form 4
HICKS THOMAS O
Director
Transactions
- Exercise/Conversion
Common Stock, $.001 par value
2020-06-18+8,169→ 8,169 total - Exercise/Conversion
Restricted Stock Units
2020-06-18−8,169→ 0 totalFrom: 2020-06-18→ Common Stock (8,169 underlying)
Holdings
- 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 represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person.