Notification That Annual Report Will Be Submitted Late (nt 10-k)
April 01 2021 - 5:05PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
12b-25
NOTIFICATION
OF LATE FILING
(Check one):
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☒
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Form 10-K
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☐
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Form 20-F
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☐
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Form 11-K
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☐
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Form 10-Q
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☐
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Form 10-D
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☐
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Form N-CEN
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☐
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Form N-CSR
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For Period Ended: December 31, 2020
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☐
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Transition
Report on Form 10-K
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☐
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Transition
Report on Form 20-F
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☐
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Transition
Report on Form 11-K
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☐
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Transition
Report on Form 10-Q
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For the Transition Period Ended:___________________________
Read
Instructions (on back page) Before Preparing Form. Please Print or Type.
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Nothing in
this form shall be construed to imply that the Commission has verified any information contained herein.
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If the notification relates to a portion of the filing
checked above, identify the Item(s) to which the notification relates:
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PART I — REGISTRANT INFORMATION
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GWG Holdings,
Inc.
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Full Name of Registrant.
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Former Name if Applicable
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325 N. St. Paul
Street, Suite 2650
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Address of Principal Executive Office (Street
and Number)
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Dallas, Texas
75201
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City, State and Zip Code:
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PART II — RULES 12b-25(b) AND (c)
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If the subject report could not be filed without unreasonable
effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box
if appropriate)
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(a)
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The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
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☒
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(b)
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The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-CEN or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and
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(c)
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The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
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PART III — NARRATIVE
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State
below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-CEN, N-CSR, or the transition report or portion thereof,
could not be filed within the prescribed time period.
GWG
Holdings, Inc.’s (the “Company”) Annual Report on Form 10-K for the fiscal year ended December 31, 2020 (the “Form
10-K”) cannot be filed within the prescribed time period because the Company requires additional time to complete its financial
statements and related disclosures to be included in the Form 10-K. The Company expects to file the Form 10-K within the fifteen-calendar
day grace period, as provided by Rule 12b-25.
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PART IV — OTHER INFORMATION
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(1)
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Name and telephone number of person to contact in regard to this notification
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Timothy Evans
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(267)
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258-2856
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(Name)
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(Area Code)
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(Telephone Number)
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(2)
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Have
all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment
Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s)
been filed? If answer is no, identify report(s).
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Yes ☒ No ☐
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(3)
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Is it anticipated that any significant change in results of
operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the
subject report or portion thereof?
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Yes ☐ No ☒
Note: This Form 12b-25 contains “forward-looking statements”
within the meaning of the Private Securities Litigation Reform Act of 1995 that involve risks and uncertainties. Such forward-looking
statements include, but are not limited to, statements relating to the timing of the filing of the Form 10-K. There can be no assurance
that these forward-looking statements will be achieved, and actual results could differ materially from those suggested by the forward-looking
statements. Therefore, the forward-looking statements in this Form 12b-25 should be considered in light of the risks and uncertainties
that attend such statements. The Company makes no commitment to revise or update any forward-looking statements in order to reflect events
or circumstances after the date any such statement is made, except as required by law.
GWG
Holdings, Inc.
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(Name of Registrant as Specified in Charter)
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has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.
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Date:
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April 1, 2021
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By:
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/s/ Timothy Evans
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Timothy Evans
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Chief Financial Officer
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3
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