SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| 14911 QUORUM DRIVE |
| SUITE 150 |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
04/26/2019
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3. Issuer Name and Ticker or Trading Symbol
GWG Holdings, Inc.
[ GWGH ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Common Stock, $.001 par value |
0 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| Remarks: |
|
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/s/ Craig Opp, as Attorney-in-Fact |
05/07/2019 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Power of Attorney
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby
constitutes and appoints CRAIG OPP and MURRAY T. HOLLAND as his
and lawful attorney-in-fact and agent, with full power of
substitution and re-substitution, for him and in his name, place
and stead, in any and all capacities (until revoked in writing)
to:
1. Sign any and all instruments, certificates and document
appropriate or required to be executed on behalf of the
undersigned pursuant to sections 13 and 16 of the Securities
Exchange Act of 1934, as amended (the "Exchange Act"), and any
and all regulations promulgated thereunder, and to file the
same, with all exhibits thereto, and any other documents in
connection therewith, with the Securities and Exchange
Commission (the "SEC"), and with any other entity when and if
such is mandated by the Exchange Act or by the Bylaws of the
Financial Industry Regulatory Authority;
2. prepare, execute, acknowledge, deliver and file a Form ID
(including any amendments or authentications thereto)
with respect to obtaining EDGAR codes, with the SEC; and
3. perform any and all other acts which in the discretion of
such attorneys-in-fact are necessary or desirable for and
on behalf of the undersigned in connection with the
foregoing.
The undersigned acknowledges that:
1. this Power of Attorney authorizes, but does not require,
such attorneys-in-fact to act in their discretion on
information provided to such attorneys-in-fact without
independent verification of such information;
2. any documents prepared and/or executed by such attorneys-
in-fact on behalf of the undersigned pursuant to this
Power of Attorney will be in such form and will contain
such information and disclosure as such attorney-in-fact,
in his or her discretion, deems necessary or desirable;
3. no such attorneys-in-fact assumes (a) any liability for
responsibility to comply with the requirements of the
Exchange Act for any of the undersigned, (b) any
liability for any failure to comply with such
requirements for any of the undersigned, or (c) any
obligation or liability for profit disgorgement under
Section 16(b) of the Exchange Act for the undersigned;
and
4. this Power of Attorney does not relieve the undersigned
from responsibility for compliance with the undersigned's
obligations under the Exchange Act, including without
limitation the reporting requirements under Sections 13
and 16 of the Exchange Act.
The undersigned hereby gives and grants the foregoing attorneys-
in-fact full power and authority to do and perform all and every
act and thing whatsoever requisite, necessary or appropriate to
be done in and about the foregoing matters as fully to all
intents and purposes as the undersigned might or could do if
present, with full power of substitution and revocation, hereby
ratifying all that such attorney-in-fact, or such attorney-in-
fact's substitute or substitutes, of, for and on behalf of the
undersigned, shall lawfully do or cause to be done by virtue of
this Power of Attorney. This Power of Attorney shall remain in
full force and effect until revoked by the undersigned in a
signed writing delivered to such attorneys-in-fact.
[Signature page follows]
IN WITNESS WHEREOF, the undersigned has caused this Power
of Attorney to be executed as of this May 1, 2019.
/s/ Sheldon I. Stein
