Current Report Filing (8-k)
November 20 2020 - 8:31AM
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): November 20, 2020
GWG
Holdings, Inc.
(Exact
name of registrant as specified in its charter)
Commission
File Number: 001-36615
Delaware
|
|
26-2222607
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(State
or other jurisdiction
of incorporation)
|
|
(IRS
Employer
Identification No.)
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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:
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☐
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Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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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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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 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. ☐
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Item
2.02
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Press Release
about Releasing Third Quarter Results of Operations and Financial Condition.
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On
November 20, 2020, GWG Holdings, Inc. issued a press release reporting it would release the financial results for its third
fiscal quarter ended September 30, 2020. 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.
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Item 9.01
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Financial Statements
and Exhibits.
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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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Date: November
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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