Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FOXO TECHNOLOGIES INC.FOXO · Entity 8683 | Director · CEO, Chairman · 10% owner | September 15, 2022 | September 17, 2022 |
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 September 15, 2022 · Filed September 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy JK-JBM Family Investment LLC | 372,680 |
Reported balance
After 2022-09-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-09-15 · Grant · Acquired 372,680 · Balance 372,680 F1: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC. F2: Securities held of record by JK-JBM Family Investment LLC (the "LLC"). Jon Sabes is the manager of the LLC and is deemed to have sole voting and investment power over the securities held by the LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy FOXO Management, LLC | 1,161,674 |
Reported balance
After 2022-09-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2022-09-15 · Grant · Acquired 1,161,674 · Balance 1,161,674 F1: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC. F3: Securities held of record by FOXO Management, LLC ("FOXO Management"). Jon Sabes, is the sole voting member of FOXO Management and is deemed to have sole voting and investment power over the securities held by FOXO Management. |
| Common StockSEC Table I · non-derivative | Direct | 3,507,000 |
Reported balance
After 2022-09-15 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2022-09-15 · Grant · Acquired 3,507,000 · Balance 3,507,000 F4: In connection with the Merger, the reporting person received a restricted share award equal to 3,507,000 shares of Class A common stock of the Issuer pursuant to the terms and conditions of the FOXO Technologies Inc. Management Contingent Share Plan (the "MIP"). The restricted share award is subject to the following three service-based vesting conditions (i) 60% of the award will become vested on the 3rd anniversary of the Closing if the reporting person is still employed by the Issuer on such date, (ii) ) 20% of the award will become vested on the 4th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date, and (iii) the final 20% of the award will become vested on the 5th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date. In addition, 1/3 of the restricted share award will become vested upon the satisfaction of certain performance-based conditions as further described in the MIP. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $6.21 · Expires 2024-01-25 | IndirectBy JK-JBM Family Investment LLC | 181,511 |
Reported balance
After 2022-09-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-09-15 · Grant · Acquired 181,511 · Balance 181,511 F3: Securities held of record by FOXO Management, LLC ("FOXO Management"). Jon Sabes, is the sole voting member of FOXO Management and is deemed to have sole voting and investment power over the securities held by FOXO Management. F5: The warrant was received in exchange for a warrant to purchase 312,500 shares of FOXO Class A common stock in connection with the Merger. The warrant is immediately exercisable. F2: Securities held of record by JK-JBM Family Investment LLC (the "LLC"). Jon Sabes is the manager of the LLC and is deemed to have sole voting and investment power over the securities held by the LLC. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.51 · Expires 2026-04-02 | Direct | 859,569 |
Reported balance
After 2022-09-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-09-15 · Grant · Acquired 859,569 · Balance 859,569 F6: The stock options were received in exchange for stock options to purchase 1,479,880 shares of Class A common stock of FOXO Technologies Operating Company ("FOXO") in connection with the merger of FOXO with and into a wholly owned subsidiary of the Issuer (the "Merger"), which closed on 9/15/2022 (the "Closing Date"). As of the Closing Date, 759,711.19 of the shares of Class A common stock of the Issuer subject to the stock options were vested, and, thereafter, the remaining number of shares subject to the stock options shall vest in equal monthly installments until fully vested on 12/31/2023. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.15 · Expires 2027-01-27 | Direct | 2 |
Reported balance
After 2022-09-15 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-09-15 · Grant · Acquired 2 · Balance 2 F7: The stock options were received in exchange for stock options to purchase 5 shares of Class A common stock of FOXO in connection with the Merger. As of the Closing Date, 0.39 of the shares of Class A common stock of the Issuer subject to the stock options were vested, and, thereafter, the remaining number of shares subject to the stock options shall vest in equal monthly installments until fully vested on 1/27/2025. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC.
F2: Securities held of record by JK-JBM Family Investment LLC (the "LLC"). Jon Sabes is the manager of the LLC and is deemed to have sole voting and investment power over the securities held by the LLC.
F3: Securities held of record by FOXO Management, LLC ("FOXO Management"). Jon Sabes, is the sole voting member of FOXO Management and is deemed to have sole voting and investment power over the securities held by FOXO Management.
F4: In connection with the Merger, the reporting person received a restricted share award equal to 3,507,000 shares of Class A common stock of the Issuer pursuant to the terms and conditions of the FOXO Technologies Inc. Management Contingent Share Plan (the "MIP"). The restricted share award is subject to the following three service-based vesting conditions (i) 60% of the award will become vested on the 3rd anniversary of the Closing if the reporting person is still employed by the Issuer on such date, (ii) ) 20% of the award will become vested on the 4th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date, and (iii) the final 20% of the award will become vested on the 5th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date. In addition, 1/3 of the restricted share award will become vested upon the satisfaction of certain performance-based conditions as further described in the MIP.
F5: The warrant was received in exchange for a warrant to purchase 312,500 shares of FOXO Class A common stock in connection with the Merger. The warrant is immediately exercisable.
F6: The stock options were received in exchange for stock options to purchase 1,479,880 shares of Class A common stock of FOXO Technologies Operating Company ("FOXO") in connection with the merger of FOXO with and into a wholly owned subsidiary of the Issuer (the "Merger"), which closed on 9/15/2022 (the "Closing Date"). As of the Closing Date, 759,711.19 of the shares of Class A common stock of the Issuer subject to the stock options were vested, and, thereafter, the remaining number of shares subject to the stock options shall vest in equal monthly installments until fully vested on 12/31/2023.
F7: The stock options were received in exchange for stock options to purchase 5 shares of Class A common stock of FOXO in connection with the Merger. As of the Closing Date, 0.39 of the shares of Class A common stock of the Issuer subject to the stock options were vested, and, thereafter, the remaining number of shares subject to the stock options shall vest in equal monthly installments until fully vested on 1/27/2025.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
GWG Holdings, Inc.
Report date March 26, 2019 · Filed April 30, 2019
Section 16 reporting ended · disclosed 2019-04-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $.001 par valueSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-04-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-26 · Gift · Disposed 50,000 · Balance 1,079,546 Row 2 · 2019-04-26 · Other · Disposed 1,079,546 · Balance 0 F3: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. |
| Common Stock, $.001 par valueSEC Table I · non-derivative | IndirectBy Trusts | 0 |
Reported balance
After 2019-04-26 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-04-26 · Other · Disposed 743,840 · Balance 0 F3: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F1: Held by certain trusts, of which the Reporting Person is a beneficiary. |
| Common Stock, $.001 par valueSEC Table I · non-derivative | IndirectBy family members who reside in the Reporting Person's household | 0 |
Reported balance
After 2019-04-26 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2019-04-26 · Other · Disposed 102,191 · Balance 0 F3: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. |
| Common Stock, $.001 par valueSEC Table I · non-derivative | IndirectBy Insurance Strategies Fund, LLC | 0 |
Reported balance
After 2019-04-26 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2019-04-26 · Other · Disposed 100,000 · Balance 0 F3: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F2: A Delaware limited liability company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manager. The Reporting Person disclaims beneficial ownership of the shares held by Insurance Strategies Fund, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. |
| Common Stock, $.001 par valueSEC Table I · non-derivative | IndirectBy Sabes AV Holdings, LLC | 0 |
Last balance in matching sequence
After 2019-04-26 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 6 · 2019-04-26 · Other · Acquired 2,025,578 · Balance 2,025,578 F3: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F4: The Reporting Person serves as a manager of Sabes AV and shares voting and dispositive control over securities held by Sabes AV. The membership interests in Sabes AV are held by the Shareholders in proportion to their contribution to Sabes AV of shares of common stock of GWG Holdings, Inc. pursuant to the Contribution Agreement. The Reporting Person disclaims beneficial ownership over the shares of common stock of GWG Holdings, Inc. held by Sabes AV except to the extent of his pecuniary interest in such shares. Row 7 · 2019-04-26 · Other · Disposed 2,025,578 · Balance 0 F5: Pursuant to a Purchase and Contribution Agreement (the "Purchase Agreement"), dated April 15, 2019, by and among Jon R. Sabes, Steven F. Sabes, Sabes AV, The Beneficient Company Group, L.P., Beneficient Company Holdings, L.P. ("BEN Holdings"), AltiVerse Capital Markets, L.L.C. ("AltiVerse"), Sabes AV sold 2,500,000 shares of common stock of GWG Holdings, Inc. to a wholly-owned subsidiary of BEN Holdings for $25,000,000 in cash, and contributed 1,452,155 shares of common stock of GWG Holdings, Inc. to AltiVerse in exchange for equity interests in AltiVerse, which is an entity over which the Reporting Person does not have voting or dispositive control. F4: The Reporting Person serves as a manager of Sabes AV and shares voting and dispositive control over securities held by Sabes AV. The membership interests in Sabes AV are held by the Shareholders in proportion to their contribution to Sabes AV of shares of common stock of GWG Holdings, Inc. pursuant to the Contribution Agreement. The Reporting Person disclaims beneficial ownership over the shares of common stock of GWG Holdings, Inc. held by Sabes AV except to the extent of his pecuniary interest in such shares. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.71 · Expires 2019-09-02 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.18 · Expires 2020-06-12 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.55 · Expires 2020-08-18 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.60 · Expires 2020-12-29 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.35 · Expires 2021-04-29 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. F7: 3,334 shares currently vested; 1,666 shares would have vested on 4/29/2019. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.41 · Expires 2021-05-13 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. F8: 3,334 shares currently vested; 1,666 shares would have vested on 5/13/2019. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.47 · Expires 2021-11-10 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2019-04-26 · Other · Disposed 205,833 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. F9: 178,749 shares are currently vested; 13,542 shares would have vested on each of 5/10/2019 and 8/10/2019. |
| Stock Options, (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.91 · Expires 2019-11-24 | Direct | 0 |
Reported balance
After 2019-04-26 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-04-26 · Other · Disposed 5,000 · Balance 0 F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Held by certain trusts, of which the Reporting Person is a beneficiary.
F2: A Delaware limited liability company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manager. The Reporting Person disclaims beneficial ownership of the shares held by Insurance Strategies Fund, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose.
F3: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV.
F4: The Reporting Person serves as a manager of Sabes AV and shares voting and dispositive control over securities held by Sabes AV. The membership interests in Sabes AV are held by the Shareholders in proportion to their contribution to Sabes AV of shares of common stock of GWG Holdings, Inc. pursuant to the Contribution Agreement. The Reporting Person disclaims beneficial ownership over the shares of common stock of GWG Holdings, Inc. held by Sabes AV except to the extent of his pecuniary interest in such shares.
F5: Pursuant to a Purchase and Contribution Agreement (the "Purchase Agreement"), dated April 15, 2019, by and among Jon R. Sabes, Steven F. Sabes, Sabes AV, The Beneficient Company Group, L.P., Beneficient Company Holdings, L.P. ("BEN Holdings"), AltiVerse Capital Markets, L.L.C. ("AltiVerse"), Sabes AV sold 2,500,000 shares of common stock of GWG Holdings, Inc. to a wholly-owned subsidiary of BEN Holdings for $25,000,000 in cash, and contributed 1,452,155 shares of common stock of GWG Holdings, Inc. to AltiVerse in exchange for equity interests in AltiVerse, which is an entity over which the Reporting Person does not have voting or dispositive control.
F6: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement.
F7: 3,334 shares currently vested; 1,666 shares would have vested on 4/29/2019.
F8: 3,334 shares currently vested; 1,666 shares would have vested on 5/13/2019.
F9: 178,749 shares are currently vested; 13,542 shares would have vested on each of 5/10/2019 and 8/10/2019.
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 |
|---|---|---|---|---|---|---|
| September 15, 2022 Filed Sep 17, 2022 01:38 UTC | FOXO TECHNOLOGIES INC. FOXO · Entity 8683 | GrantStock Option (right to buy) · Derivative | 2 | $0.00 Strike: $9.15 | $0.00 |
DisclosureSEC source: 0001213900-22-056726 · ownership.xml · derivative · entry 6 Sabes Jon · CIK 0001329728 · Director · CEO, Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2 Underlying: Class A Common Stock · 2 shares Expires 2027-01-27 F7 · derivative.exercise_date: The stock options were received in exchange for stock options to purchase 5 shares of Class A common stock of FOXO in connection with the Merger. As of the Closing Date, 0.39 of the shares of Class A common stock of the Issuer subject to the stock options were vested, and, thereafter, the remaining number of shares subject to the stock options shall vest in equal monthly installments until fully vested on 1/27/2025. Read SEC document |
| September 15, 2022 Filed Sep 17, 2022 01:38 UTC | FOXO TECHNOLOGIES INC. FOXO · Entity 8683 | GrantStock Option (right to buy) · Derivative | 859,569 | $0.00 Strike: $6.51 | $0.00 |
DisclosureSEC source: 0001213900-22-056726 · ownership.xml · derivative · entry 5 Sabes Jon · CIK 0001329728 · Director · CEO, Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,569 Underlying: Class A Common Stock · 859,569 shares Expires 2026-04-02 F6 · derivative.exercise_date: The stock options were received in exchange for stock options to purchase 1,479,880 shares of Class A common stock of FOXO Technologies Operating Company ("FOXO") in connection with the merger of FOXO with and into a wholly owned subsidiary of the Issuer (the "Merger"), which closed on 9/15/2022 (the "Closing Date"). As of the Closing Date, 759,711.19 of the shares of Class A common stock of the Issuer subject to the stock options were vested, and, thereafter, the remaining number of shares subject to the stock options shall vest in equal monthly installments until fully vested on 12/31/2023. Read SEC document |
| September 15, 2022 Filed Sep 17, 2022 01:38 UTC | FOXO TECHNOLOGIES INC. FOXO · Entity 8683 | GrantWarrant · Derivative | 181,511 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001213900-22-056726 · ownership.xml · derivative · entry 4 Sabes Jon · CIK 0001329728 · Director · CEO, Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By JK-JBM Family Investment LLC Disclosed balance after: 181,511 Underlying: Class A Common Stock · 181,511 shares Expires 2024-01-25 F3 · security: Securities held of record by FOXO Management, LLC ("FOXO Management"). Jon Sabes, is the sole voting member of FOXO Management and is deemed to have sole voting and investment power over the securities held by FOXO Management. F5 · derivative.exercise_date: The warrant was received in exchange for a warrant to purchase 312,500 shares of FOXO Class A common stock in connection with the Merger. The warrant is immediately exercisable. F2 · ownership.nature: Securities held of record by JK-JBM Family Investment LLC (the "LLC"). Jon Sabes is the manager of the LLC and is deemed to have sole voting and investment power over the securities held by the LLC. Read SEC document |
| September 15, 2022 Filed Sep 17, 2022 01:38 UTC | FOXO TECHNOLOGIES INC. FOXO · Entity 8683 | GrantCommon Stock | 3,507,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-056726 · ownership.xml · nonDerivative · entry 3 Sabes Jon · CIK 0001329728 · Director · CEO, Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,507,000 F4 · security: In connection with the Merger, the reporting person received a restricted share award equal to 3,507,000 shares of Class A common stock of the Issuer pursuant to the terms and conditions of the FOXO Technologies Inc. Management Contingent Share Plan (the "MIP"). The restricted share award is subject to the following three service-based vesting conditions (i) 60% of the award will become vested on the 3rd anniversary of the Closing if the reporting person is still employed by the Issuer on such date, (ii) ) 20% of the award will become vested on the 4th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date, and (iii) the final 20% of the award will become vested on the 5th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date. In addition, 1/3 of the restricted share award will become vested upon the satisfaction of certain performance-based conditions as further described in the MIP. F4 · price: In connection with the Merger, the reporting person received a restricted share award equal to 3,507,000 shares of Class A common stock of the Issuer pursuant to the terms and conditions of the FOXO Technologies Inc. Management Contingent Share Plan (the "MIP"). The restricted share award is subject to the following three service-based vesting conditions (i) 60% of the award will become vested on the 3rd anniversary of the Closing if the reporting person is still employed by the Issuer on such date, (ii) ) 20% of the award will become vested on the 4th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date, and (iii) the final 20% of the award will become vested on the 5th anniversary of the Closing Date if the reporting person is still employed by the Issuer on such date. In addition, 1/3 of the restricted share award will become vested upon the satisfaction of certain performance-based conditions as further described in the MIP. Read SEC document |
| September 15, 2022 Filed Sep 17, 2022 01:38 UTC | FOXO TECHNOLOGIES INC. FOXO · Entity 8683 | GrantCommon Stock | 1,161,674 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-056726 · ownership.xml · nonDerivative · entry 2 Sabes Jon · CIK 0001329728 · Director · CEO, Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By FOXO Management, LLC Disclosed balance after: 1,161,674 F1 · security: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC. F1 · price: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC. F3 · ownership.nature: Securities held of record by FOXO Management, LLC ("FOXO Management"). Jon Sabes, is the sole voting member of FOXO Management and is deemed to have sole voting and investment power over the securities held by FOXO Management. Read SEC document |
| September 15, 2022 Filed Sep 17, 2022 01:38 UTC | FOXO TECHNOLOGIES INC. FOXO · Entity 8683 | GrantCommon Stock | 372,680 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-056726 · ownership.xml · nonDerivative · entry 1 Sabes Jon · CIK 0001329728 · Director · CEO, Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By JK-JBM Family Investment LLC Disclosed balance after: 372,680 F1 · security: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC. F1 · price: In connection with the merger described in that certain Agreement and Plan of Merger, dated as of 2/24/2022 (as amended, the "Merger Agreement"), by and among FOXO Technologies Inc., formerly Delwinds Insurance Acquisition Corp. (the "Issuer"), DWIN Merger Sub Inc. ("Merger Sub"), and FOXO Technologies Operating Company, formerly FOXO Technologies Inc. ("FOXO"), pursuant to which Merger Sub merged with and into FOXO, with FOXO surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to the terms and conditions of the Merger Agreement, in connection with the closing of the Merger on 9/15/2022 (the "Closing Date"), the reporting person received (i) 372,680 shares of Class A common stock in the Issuer to be held by JK-JBM Family Investment LLC and (ii) 1,161,674 shares of Class A common stock in the Issuer to be held by FOXO Management, LLC. F2 · ownership.nature: Securities held of record by JK-JBM Family Investment LLC (the "LLC"). Jon Sabes is the manager of the LLC and is deemed to have sole voting and investment power over the securities held by the LLC. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 205,833 | $0.00 Strike: $9.47 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 15 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 205,833 shares Expires 2021-11-10 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. F9 · derivative.exercise_date: 178,749 shares are currently vested; 13,542 shares would have vested on each of 5/10/2019 and 8/10/2019. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 5,000 | $0.00 Strike: $6.41 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 14 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2021-05-13 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. F8 · derivative.exercise_date: 3,334 shares currently vested; 1,666 shares would have vested on 5/13/2019. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 5,000 | $0.00 Strike: $6.35 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 13 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2021-04-29 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. F7 · derivative.exercise_date: 3,334 shares currently vested; 1,666 shares would have vested on 4/29/2019. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 5,000 | $0.00 Strike: $6.60 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 12 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2020-12-29 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 5,000 | $0.00 Strike: $8.55 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 11 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2020-08-18 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 5,000 | $0.00 Strike: $10.18 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 10 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2020-06-12 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options, (right to buy) · Derivative | 5,000 | $0.00 Strike: $9.91 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 9 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2019-11-24 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherStock Options (right to buy) · Derivative | 5,000 | $0.00 Strike: $8.71 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · derivative · entry 8 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $.001 par value · 5,000 shares Expires 2019-09-02 F6 · kind: This option was forfeited by the Reporting Person for no consideration as part of the transactions contemplated by the Purchase Agreement. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherCommon Stock, $.001 par value | 2,025,578 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 7 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Sabes AV Holdings, LLC Disclosed balance after: 0 F5 · kind: Pursuant to a Purchase and Contribution Agreement (the "Purchase Agreement"), dated April 15, 2019, by and among Jon R. Sabes, Steven F. Sabes, Sabes AV, The Beneficient Company Group, L.P., Beneficient Company Holdings, L.P. ("BEN Holdings"), AltiVerse Capital Markets, L.L.C. ("AltiVerse"), Sabes AV sold 2,500,000 shares of common stock of GWG Holdings, Inc. to a wholly-owned subsidiary of BEN Holdings for $25,000,000 in cash, and contributed 1,452,155 shares of common stock of GWG Holdings, Inc. to AltiVerse in exchange for equity interests in AltiVerse, which is an entity over which the Reporting Person does not have voting or dispositive control. F5 · price: Pursuant to a Purchase and Contribution Agreement (the "Purchase Agreement"), dated April 15, 2019, by and among Jon R. Sabes, Steven F. Sabes, Sabes AV, The Beneficient Company Group, L.P., Beneficient Company Holdings, L.P. ("BEN Holdings"), AltiVerse Capital Markets, L.L.C. ("AltiVerse"), Sabes AV sold 2,500,000 shares of common stock of GWG Holdings, Inc. to a wholly-owned subsidiary of BEN Holdings for $25,000,000 in cash, and contributed 1,452,155 shares of common stock of GWG Holdings, Inc. to AltiVerse in exchange for equity interests in AltiVerse, which is an entity over which the Reporting Person does not have voting or dispositive control. F4 · ownership.nature: The Reporting Person serves as a manager of Sabes AV and shares voting and dispositive control over securities held by Sabes AV. The membership interests in Sabes AV are held by the Shareholders in proportion to their contribution to Sabes AV of shares of common stock of GWG Holdings, Inc. pursuant to the Contribution Agreement. The Reporting Person disclaims beneficial ownership over the shares of common stock of GWG Holdings, Inc. held by Sabes AV except to the extent of his pecuniary interest in such shares. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherCommon Stock, $.001 par value | 2,025,578 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 6 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Sabes AV Holdings, LLC Disclosed balance after: 2,025,578 F3 · kind: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F3 · price: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F4 · ownership.nature: The Reporting Person serves as a manager of Sabes AV and shares voting and dispositive control over securities held by Sabes AV. The membership interests in Sabes AV are held by the Shareholders in proportion to their contribution to Sabes AV of shares of common stock of GWG Holdings, Inc. pursuant to the Contribution Agreement. The Reporting Person disclaims beneficial ownership over the shares of common stock of GWG Holdings, Inc. held by Sabes AV except to the extent of his pecuniary interest in such shares. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherCommon Stock, $.001 par value | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 5 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Insurance Strategies Fund, LLC Disclosed balance after: 0 F3 · kind: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F3 · price: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F2 · ownership.nature: A Delaware limited liability company managed by ISF Management, LLC, a Delaware limited liability company, of which the Reporting Person is a manager. The Reporting Person disclaims beneficial ownership of the shares held by Insurance Strategies Fund, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherCommon Stock, $.001 par value | 102,191 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 4 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By family members who reside in the Reporting Person's household Disclosed balance after: 0 F3 · kind: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F3 · price: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherCommon Stock, $.001 par value | 743,840 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 3 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trusts Disclosed balance after: 0 F3 · kind: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F3 · price: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F1 · ownership.nature: Held by certain trusts, of which the Reporting Person is a beneficiary. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | OtherCommon Stock, $.001 par value | 1,079,546 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 2 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · kind: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. F3 · price: Pursuant to a Contribution and Exchange Agreement (the "Contribution Agreement"), dated April 11, 2019, by and among Sabes AV Holdings, LLC, a Delaware limited liability company ("Sabes AV"), Jon R. Sabes, Jon Sabes 1992 Trust No. 1, Esther Sabes 6.08.1992 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1982 Trust F/B/O Jon R. Sabes, Moe Sabes 12.30.1976 Trust F/B/O Jon R. Sabes, Jackson Sabes 1995 Trust, Brooke Sabes 1995 Trust, Morgan Sabes 2012 Trust, Kristine Sabes 2000 Trust, Insurance Strategies Fund, LLC, Steven F. Sabes and SFS Holdings, LLC (collectively, the "Shareholders"), the Shareholders contributed an aggregate of 3,952,155 shares of common stock of GWG Holdings, Inc. to Sabes AV. Read SEC document |
| March 26, 2019 Filed Apr 30, 2019 15:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GiftCommon Stock, $.001 par value | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-005274 · edgar.xml · nonDerivative · entry 1 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,546 Read SEC document |
| December 07, 2018 Filed Feb 13, 2019 17:23 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GiftCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-001850 · edgar.xml · nonDerivative · entry 4 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,129,546 Read SEC document |
| August 22, 2018 Filed Sep 5, 2018 13:31 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | Exercise / conversionStock Options (right to buy) · Derivative | 6,000 | $0.00 Strike: $8.28 | $0.00 |
DisclosureSEC source: 0001182489-18-000332 · edgar.xml · derivative · entry 6 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2018-09-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 22, 2018 Filed Sep 5, 2018 13:31 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | Tax withholdingCommon Stock, $.001 par value | 4,773 | $11.70 | $55,844.10 |
DisclosureSEC source: 0001182489-18-000332 · edgar.xml · nonDerivative · entry 5 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,229,546 Read SEC document |
| August 22, 2018 Filed Sep 5, 2018 13:31 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | Exercise / conversionCommon Stock, $.001 par value | 6,000 | $8.28 | $49,680.00 |
DisclosureSEC source: 0001182489-18-000332 · edgar.xml · nonDerivative · entry 4 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,234,319 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 10:29 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GrantStock Options (right to buy) · Derivative | 43,333 | $0.00 Strike: $9.47 | $0.00 |
DisclosureSEC source: 0001179110-18-005720 · edgar.xml · derivative · entry 5 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,333 Underlying: Common Stock · 43,333 shares Expires 2021-11-09 F3 · kind: On November 10, 2016, the reporting person was granted an option to purchase 325,000 shares of common stock. One half of the option, or 162,500 shares, is subject to quarterly time-based vesting over three years and was reported on November 10, 2016. The other half vests in installments based on the satisfaction of annual performance criteria. On April 17, 2018, certain performance criteria for 2017 were met resulting in the vesting of the option as to 43,333 shares. Read SEC document |
| December 11, 2017 Filed Apr 9, 2018 11:36 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GiftCommon Stock, $.001 par value | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-005486 · edgar.xml · nonDerivative · entry 1 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,228,319 Read SEC document |
| December 21, 2016 Filed Jan 11, 2017 16:27 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GiftCommon Stock, $.001 par value | 32,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000896 · edgar.xml · nonDerivative · entry 1 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,258,319 Read SEC document |
| November 10, 2016 Filed Nov 15, 2016 20:08 UTC | GWG Holdings, Inc. GWGH · Entity 111001 | GrantStock Options (right to buy) · Derivative | 162,500 | $0.00 Strike: $9.47 | $0.00 |
DisclosureSEC source: 0001179110-16-031642 · edgar.xml · derivative · entry 5 Sabes Jon · CIK 0001329728 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,500 Underlying: Common Stock · 162,500 shares Expires 2021-11-09 F3 · derivative.exercise_date: Purchase rights under the 162,500 share option vest as follows: 13,541 shares vest immediately, and the remainder vest quarterly over a three year period. The reported grant is part of a larger grant that included a second and separate 162,500 share option that vests upon the satisfaction of certain performance-based criteria. The performance-based option will not be reported under Section 16 until the vesting criteria have been satisfied. 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.