Current Report Filing (8-k)
June 19 2020 - 4:14PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 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): June 15, 2020
GWG
Holdings, Inc.
(Exact
name of registrant as specified in its charter)
Commission
File Number: 001-36615
Delaware
|
|
26-2222607
|
(State
or other jurisdiction of
incorporation)
|
|
(IRS
Employer
Identification
No.)
|
325
North St. Paul Street, Suite 2650, Dallas, TX 75201
(Address
of principal executive offices, including 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:
☐ Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading Symbol(s)
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Name
of each exchange on which registered
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Common Shares
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GWGH
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|
Nasdaq
Capital Markets
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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. ☐
Item
5.02
|
Departure
of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers; Compensatory Arrangements of
Certain Officers.
|
On
June 15, 2020, Roger T. Staubach resigned as a director of GWG Holdings, Inc. (the “Company”), expressing his desire
to begin stepping back from his numerous professional responsibilities and spending more time with his family. Mr. Staubach resignation
was not due to any disagreement with the Company on any matter relating to the operations, policies or practices of the Company.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, 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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|
|
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Date:
June 19, 2020
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By:
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/s/
Timothy Evans
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Name:
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Timothy
Evans
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Title:
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Chief
Financial Officer
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2
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