Current Report Filing (8-k)
August 05 2019 - 1:58PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(
d
)
of
the
Securities Exchange Act of 1934
Date
of Report (date of earliest event reported): August 5, 2019
GWG
Holdings, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
|
|
001-36615
|
|
26-2222607
|
(State or other jurisdiction
of incorporation)
|
|
(Commission File
Number)
|
|
(IRS
Employer
Identification
No.)
|
220 South Sixth Street, Suite 1200, Minneapolis, MN
|
|
55402
|
(Address of principal executive offices)
|
|
(Zip Code)
|
(612)
746-1944
(Registrant's
telephone number, including area code)
Not
applicable
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
|
☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
|
☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
|
☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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|
☐
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities
registered pursuant to Section 12(b) of the Act:
Title of each class
|
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Trading Symbol(s)
|
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Name of each exchange on which registered
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Common Stock
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GWGH
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NASDAQ Capital Market
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Item 2.02
Results of Operations and Financial Condition
On
August 5, 2019, GWG Holdings, Inc. issued a press release reporting the financial results for its first fiscal quarter ended March
31, 2019. The full text of the press release is furnished as Exhibit 99.1 to this Form 8-K.
The
information in this Current Report on Form 8-K, including the information contained in the press release furnished as Exhibit
99.1, is deemed to be “furnished” and not “filed” for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended (the “Exchange Act”), is not otherwise subject to the liabilities of that Section, and shall
not be deemed incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933, as amended, regardless
of any general incorporation language in such filing.
Item 9.01
Financial Statements and Exhibits.
(d)
Exhibits
.
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
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GWG
Holdings, Inc.
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|
|
Date:
August 5, 2019
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By:
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/s/
William Acheson
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William
Acheson
Chief Financial Officer
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EXHIBIT
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