Initial Statement of Beneficial Ownership (3)
November 02 2020 - 5:20PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Stahl John A. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/23/2020
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3. Issuer Name and Ticker or Trading Symbol
GWG Holdings, Inc. [GWGH]
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(Last)
(First)
(Middle)
C/O GWG HOLDINGS, INC.,, 325 N. ST. PAUL STREET, SUITE 2650 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
DALLAS, TX 75201
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.001 par value | 0 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The Reporting Person is Trustee of the Certificateholders to certain trusts (the "Custody Trusts") that collectively own 9,837,264 shares of the outstanding common stock of GWG Holdings, Inc. (the "Issuer") and has voting power and dispositive power over the shares of the Issuer's common stock held by the Custody Trusts. However, the Reporting Person has no pecuniary interest in the shares of the Issuer's common stock held by the Custody Trusts. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stahl John A. C/O GWG HOLDINGS, INC., 325 N. ST. PAUL STREET, SUITE 2650 DALLAS, TX 75201 |
| X |
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Signatures
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/s/ John A. Stahl | | 11/2/2020 |
**Signature of Reporting Person | Date |
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