SABES STEVEN F 4

Accession 0001182489-18-000328

CIK 0001522690other

View on SEC.gov Company Profile

Filed

Sep 4, 8:00 PM ET

Accepted

Sep 5, 1:22 PM ET

Size

57.9 KB

Accession

0001182489-18-000328

Insider Transaction Report

Form 4

Period: 2018-08-21

GWG Holdings, Inc.GWGH

SABES STEVEN F

DirectorPresident and Secretary10% Owner

Transactions

Exercise/Conversion
Stock Options (right to buy)
2018-08-21−5,000→ 0 total
Exercise: $9.01From: 2017-11-24Exp: 2019-11-24→ Common Stock (5,000 underlying)
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−2,625$29,006→ 1,051,884 total
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−27,500→ 0 total
Exercise: $8.28From: 2016-09-05Exp: 2018-09-05→ Common Stock (27,500 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−5,000→ 0 total
Exercise: $8.55From: 2018-08-18Exp: 2020-08-18→ Common Stock (5,000 underlying)
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$8.20/sh+5,000$41,000→ 1,053,112 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−4,291$47,416→ 1,048,821 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$9.01/sh+5,000$45,050→ 1,054,381 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−4,539$50,156→ 1,049,842 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$9.64/sh+1,667$16,070→ 1,054,250 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−1,561$17,249→ 1,052,689 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$10.38/sh+1,667$17,303→ 1,054,356 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−4,435$49,007→ 1,050,505 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$6.60/sh+3,333$21,998→ 1,053,838 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−2,634$29,106→ 1,052,583 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−1,617$17,868→ 1,052,739 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$8.28/sh+27,500$227,700→ 1,071,822 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$10.18/sh+2,500$25,450→ 1,052,342 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$8.55/sh+5,000$42,750→ 1,054,940 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$6.41/sh+3,333$21,365→ 1,055,217 total
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−5,000→ 0 total
Exercise: $8.20From: 2017-04-07Exp: 2019-04-01→ Common Stock (5,000 underlying)
Tax Payment
CommonStock, $.001 par value
2018-08-21$11.05/sh−23,710$261,996→ 1,048,112 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$8.71/sh+5,000$43,550→ 1,053,821 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−4,440$49,062→ 1,049,381 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−2,402$26,542→ 1,049,940 total
Tax Payment
Common Stock, $.001 par value
2018-08-21$11.05/sh−2,662$29,415→ 1,051,176 total
Exercise/Conversion
Common Stock, $.001 par value
2018-08-21$6.35/sh+3,333$21,165→ 1,054,509 total
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−5,000→ 0 total
Exercise: $8.71From: 2017-09-02Exp: 2019-09-02→ Common Stock (5,000 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−2,500→ 0 total
Exercise: $10.18From: 2018-06-12Exp: 2020-06-12→ Common Stock (2,500 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−3,333→ 1,667 total
Exercise: $6.60From: 2017-12-29Exp: 2020-12-29→ Common Stock (3,333 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−3,333→ 1,667 total
Exercise: $6.35From: 2018-04-29Exp: 2021-04-29→ Common Stock (3,333 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−1,667→ 3,333 total
Exercise: $9.64From: 2017-09-19Exp: 2021-09-19→ Common Stock (1,667 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−1,667→ 3,333 total
Exercise: $10.38From: 2018-04-18Exp: 2022-04-18→ Common STock (1,667 underlying)
Exercise/Conversion
Stock Options (right to buy)
2018-08-21−3,333→ 1,667 total
Exercise: $6.41From: 2018-05-13Exp: 2021-05-13→ Common Stock (3,333 underlying)

Holdings

Common Stock, $.001 par value
(indirect: By LLC)
100,000
Common Stock, $.001 par value
(indirect: By LLC)
1,072,382

Footnotes (2)

[F1]A Delaware limited liability company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manager. The Reporting Person disclaims beneficial ownership of the shares held by Insurance Strategies Fund, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose.
[F2]A Nevada limited liability company, of which the reporting person is sole manager.

Documents

1 file

4
edgar.xmlPrimary
FORM 4 -

Issuer

GWG Holdings, Inc.

CIK 0001522690

→

Entity typeother

Related Parties

filerCIK 0001406756

Filing Metadata

Form type: 4
Filed: Sep 4, 8:00 PM ET
Accepted: Sep 5, 1:22 PM ET
Size: 57.9 KB

View on SEC.gov