4//SEC Filing
HICKS THOMAS O 4
Accession 0001179110-20-008453
CIK 0001522690other
Filed
Jul 22, 8:00 PM ET
Accepted
Jul 23, 4:52 PM ET
Size
8.1 KB
Accession
0001179110-20-008453
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.
Documents
Issuer
GWG Holdings, Inc.
CIK 0001522690
Entity typeother
Related Parties
1- filerCIK 0000938201
Filing Metadata
- Form type
- 4
- Filed
- Jul 22, 8:00 PM ET
- Accepted
- Jul 23, 4:52 PM ET
- Size
- 8.1 KB