organization · Reporting owner
GWG Holdings, Inc.
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FOXO TECHNOLOGIES INC.FOXO · Entity 8683 | 10% owner | May 25, 2023 | June 02, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FOXO TECHNOLOGIES INC.
Report date May 25, 2023 · Filed June 02, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 4,646,698 |
Reported balance
Holding disclosure · report date 2023-05-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,646,698 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Beneficient
Report date August 01, 2023 · Filed August 01, 2023
Jointly reported with GWG Life USA, LLC
Section 16 reporting ended · disclosed 2023-08-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-01 · Other · Disposed 102,530,680 · Balance 0 F1: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. |
| Class A Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2023-08-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-08-01 · Other · Disposed 67,100,832 · Balance 0 F1: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F3: Shares were owned directly by GWG Life USA, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. was an indirect beneficial owner of the reported securities. |
| Class A Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2023-08-01 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-08-01 · Other · Disposed 119,975 · Balance 0 F1: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F4: Shares were owned directly by GWG Life, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. was an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived.
F2: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares.
F3: Shares were owned directly by GWG Life USA, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. was an indirect beneficial owner of the reported securities.
F4: Shares were owned directly by GWG Life, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. was an indirect beneficial owner of the reported securities.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 01, 2023 Filed Aug 1, 2023 17:44 UTC | Beneficient BENF · Entity 7427 | OtherClass A Common Stock, $0.001 par value | 119,975 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-062051 · ownership.xml · nonDerivative · entry 3 GWG Holdings, Inc. · CIK 0001522690 · 10% owner GWG Life USA, LLC · CIK 0001980661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · kind: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2 · kind: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F1 · price: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2 · price: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F4 · ownership.nature: Shares were owned directly by GWG Life, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. was an indirect beneficial owner of the reported securities. Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 17:44 UTC | Beneficient BENF · Entity 7427 | OtherClass A Common Stock, $0.001 par value | 67,100,832 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-062051 · ownership.xml · nonDerivative · entry 2 GWG Holdings, Inc. · CIK 0001522690 · 10% owner GWG Life USA, LLC · CIK 0001980661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · kind: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2 · kind: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F1 · price: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2 · price: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F3 · ownership.nature: Shares were owned directly by GWG Life USA, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. was an indirect beneficial owner of the reported securities. Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 17:44 UTC | Beneficient BENF · Entity 7427 | OtherClass A Common Stock, $0.001 par value | 102,530,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-062051 · ownership.xml · nonDerivative · entry 1 GWG Holdings, Inc. · CIK 0001522690 · 10% owner GWG Life USA, LLC · CIK 0001980661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2 · kind: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. F1 · price: On April 20, 2023, GWG Holdings, Inc. (the "Company") and certain of its subsidiaries (together with the Company, the "Debtors") filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On June 20, 2023 the Court entered an order (the "Confirmation Order") confirming the Debtors' Further Modified Second Amended Joint Chapter 11 Plan (as subsequently further modified the "Plan"). On August 1, 2023 (the "Effective Date") the conditions to the effectiveness of the Plan were satisfied or waived. F2 · price: (Continued from footnote 1) On the Effective Date, pursuant to the terms of the Plan, all shares of Beneficient's Class A Common Stock owned by the Debtors were delivered to a liquidating trust or Mr. Jeffrey Stein, in each case as contemplated by the Plan. The sole purpose of the liquidating trust is to liquidate these assets with a view towards maximizing the value of such assets for the benefit of the beneficiaries of the liquidating trust. The Debtors received no cash proceeds or other property in exchange for the delivered shares. Read SEC document |
| July 07, 2023 Filed Jul 11, 2023 16:36 UTC | Beneficient BENF · Entity 7427 | OtherPreferred C-1 Unit of Beneficient Company Holdings, L.P. · Derivative | 119,975 | Not disclosed Strike: $10.20 | Not disclosed |
DisclosureSEC source: 0001213900-23-056223 · ownership.xml · derivative · entry 5 GWG Holdings, Inc. · CIK 0001522690 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Subsidiary Disclosed balance after: 0 Underlying: Class A Common Stock, $0.001 par value · 119,975 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F7 · shares: The capital account balance of the Preferred C-1 Units held by GWG Life, LLC prior to conversion was $559,000. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F6 · derivative.exercise_date: The Preferred C-1 Units beneficially owned by the reporting person provide for automatic conversion to the Class A Common Stock on the business day after the VWAP Period. The "VWAP Period" is the period commencing on the first trading day after June 7, 2023 and ending on the 20th trading day after June 7, 2023. The Preferred C-1 Units did not have an expiration date. F6 · derivative.expiration_date: The Preferred C-1 Units beneficially owned by the reporting person provide for automatic conversion to the Class A Common Stock on the business day after the VWAP Period. The "VWAP Period" is the period commencing on the first trading day after June 7, 2023 and ending on the 20th trading day after June 7, 2023. The Preferred C-1 Units did not have an expiration date. F3 · ownership.nature: Securities are owned directly by GWG Life, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. is an indirect beneficial owner of the reported securities. On June 7, 2023, the reporting person filed a Form 3 that inadvertently reported direct beneficial ownership of the reported securities described in this row. Read SEC document |
| July 07, 2023 Filed Jul 11, 2023 16:36 UTC | Beneficient BENF · Entity 7427 | OtherPreferred C-1 Unit of Beneficient Company Holdings, L.P. · Derivative | 43,920,786 | Not disclosed Strike: $10.20 | Not disclosed |
DisclosureSEC source: 0001213900-23-056223 · ownership.xml · derivative · entry 4 GWG Holdings, Inc. · CIK 0001522690 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock, $0.001 par value · 43,920,786 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F5 · shares: The capital account balance of the Preferred C-1 Units held by GWG Holdings, Inc. prior to conversion was $204,641,000. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F6 · derivative.exercise_date: The Preferred C-1 Units beneficially owned by the reporting person provide for automatic conversion to the Class A Common Stock on the business day after the VWAP Period. The "VWAP Period" is the period commencing on the first trading day after June 7, 2023 and ending on the 20th trading day after June 7, 2023. The Preferred C-1 Units did not have an expiration date. F6 · derivative.expiration_date: The Preferred C-1 Units beneficially owned by the reporting person provide for automatic conversion to the Class A Common Stock on the business day after the VWAP Period. The "VWAP Period" is the period commencing on the first trading day after June 7, 2023 and ending on the 20th trading day after June 7, 2023. The Preferred C-1 Units did not have an expiration date. Read SEC document |
| July 07, 2023 Filed Jul 11, 2023 16:36 UTC | Beneficient BENF · Entity 7427 | OtherClass A Common Stock, $0.001 par value | 119,975 | $4.66 | $558,999.52 |
DisclosureSEC source: 0001213900-23-056223 · ownership.xml · nonDerivative · entry 2 GWG Holdings, Inc. · CIK 0001522690 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Subsidiary Disclosed balance after: 119,975 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F2 · price: Conversion price was $4.65932. Amount has been rounded as a result of electronic filing format. F3 · ownership.nature: Securities are owned directly by GWG Life, LLC, which is a wholly owned subsidiary of GWG Holdings, Inc. As such, GWG Holdings, Inc. is an indirect beneficial owner of the reported securities. On June 7, 2023, the reporting person filed a Form 3 that inadvertently reported direct beneficial ownership of the reported securities described in this row. Read SEC document |
| July 07, 2023 Filed Jul 11, 2023 16:36 UTC | Beneficient BENF · Entity 7427 | OtherClass A Common Stock, $0.001 par value | 43,920,786 | $4.66 | $204,640,118.21 |
DisclosureSEC source: 0001213900-23-056223 · ownership.xml · nonDerivative · entry 1 GWG Holdings, Inc. · CIK 0001522690 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 102,530,679 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7, the Preferred C-1 Units beneficially owned by the reporting person automatically converted to the Class A Common Stock on July 7, 2023 based on a conversion price per share equal to the lower of (i) the volume-weighted average trading price of the issuer's Class A common stock for the 20 trading days following June 7, 2023 (the "VWAP Price"); and (ii) $10.20. The VWAP Price was $4.65932 resulting in the issuance of 44,040,761 shares of Class A Common Stock. F2 · price: Conversion price was $4.65932. Amount has been rounded as a result of electronic filing format. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.