Amended Current Report Filing (8-k/a)
September 07 2021 - 9:03AM
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K/A
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 30, 2021
GWG Holdings, Inc.
(Exact name of registrant as specified in its charter)
Commission File Number: 001-36615
Delaware
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26-2222607
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(State or other jurisdiction
of
incorporation)
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(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. ☐
EXPLANATORY NOTE
This
Current Report on Form 8-K/A amends the Current Report on Form 8-K, filed with the Securities and Exchange Commission on July 7, 2021,
to report the results of the previously disclosed hearing before the Nasdaq Hearings Panel regarding the delisting determination from
the Nasdaq Listing Qualifications Staff.
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Item 3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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On August 31, 2021, GWG Holdings, Inc. (the “Company”)
received a letter (the “Letter”) from the Hearings Advisor to the Nasdaq Hearings Panel (“Panel”) that was reviewing
the previously reported delisting determination from the Nasdaq Listing Qualifications Staff notifying the Company that the Panel granted
the Company’s request for continued listing on The Nasdaq Stock Market LLP, subject to the following conditions: (1) on or before
October 31, 2021, the Company must file with the Securities and Exchange Commission its Annual Report on Form 10-K for the year ended
December 31, 2020, and its Quarterly Reports on Form 10-Q for the periods ended March 31, 2021, and June 30, 2021; and (2) the Company
must hold its Combined 2020/2021 Annual Meeting of Stockholders on or before December 31, 2021.
On September 7, 2021, the Company issued a press
release announcing its receipt of the Letter. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K/A
and is incorporated herein by reference.
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Item 9.01
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Financial Statements and Exhibits
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(d) Exhibits
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: September 7, 2021
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By:
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/s/ Timothy L. Evans
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Name:
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Timothy L. Evans
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Title:
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Chief Financial Officer
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