IPO registrations (S-1, F-1) · Registrants
GWG Holdings, Inc.
- SEC CIK
- 1522690 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2011-06-14, last 2020-05-15; 8 initial registrations, 32 amendments
- Outcome
- Final prospectus filed 2014-09-22; declared effective 2012-01-31; withdrawal requested 2015-09-01
- Industry (SIC)
- Life Insurance 6311
- Business address
- 325 N. ST. PAUL STREET, SUITE 2650, Dallas, TX 75201
- EIN
- 26-2222607
- EDGAR entity type
- operating
- Insiders and CEO pay
- GWG Holdings, Inc. on the corporate pages
On this site
- Business registration: GWG Holdings, Inc. Fuzzy (name and state)
- Business registration: GWG HOLDINGS, INC. Fuzzy (name and state)
- Form D issuer: GWG Holdings, Inc. EXACT (CIK (EXACT))
- SEC filer: GWG Holdings, Inc. EXACT (CIK (EXACT))
- Person page: Murray T Holland Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer,TenPercentOwner))
Filings 60
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2011-06-14 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001193125-11-164839 ↗ |
| 2011-07-26 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-196626 ↗ |
| 2011-08-23 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-230284 ↗ |
| 2011-09-20 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-251567 ↗ |
| 2011-10-05 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-263957 ↗ |
| 2011-10-20 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-275076 ↗ |
| 2011-10-27 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-283368 ↗ |
| 2011-11-01 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-290583 ↗ |
| 2011-11-28 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-323017 ↗ |
| 2011-12-15 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-342441 ↗ |
| 2011-12-29 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-11-354286 ↗ |
| 2012-01-12 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-12-009577 ↗ |
| 2012-01-20 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001193125-12-017938 ↗ |
| 2012-01-31 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-12-000350 ↗ |
| 2012-05-15 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-12-001559 ↗ |
| 2013-06-04 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-13-001727 ↗ |
| 2014-04-17 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-14-001027 ↗ |
| 2014-04-25 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-14-002679 ↗ |
| 2014-06-06 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-004049 ↗ |
| 2014-07-03 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-14-004662 ↗ |
| 2014-07-11 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-004836 ↗ |
| 2014-08-14 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-005911 ↗ |
| 2014-08-22 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-006196 ↗ |
| 2014-08-29 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-006317 ↗ |
| 2014-09-03 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-006402 ↗ |
| 2014-09-18 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-14-002809 ↗ |
| 2014-09-22 | 424B4 | 424B4 (final prospectus) | GWG Holdings, Inc. | 0001213900-14-006816 ↗ |
| 2014-10-08 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-007136 ↗ |
| 2014-10-30 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-007566 ↗ |
| 2014-11-04 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-007720 ↗ |
| 2014-12-19 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-14-009000 ↗ |
| 2015-01-07 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-15-000089 ↗ |
| 2015-01-09 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-15-000068 ↗ |
| 2015-03-23 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-15-000664 ↗ |
| 2015-05-05 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-15-003275 ↗ |
| 2015-05-20 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-15-004082 ↗ |
| 2015-06-12 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-15-004444 ↗ |
| 2015-08-27 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-15-006586 ↗ |
| 2015-09-01 | RW | RW (withdrawal request) | GWG Holdings, Inc. | 0001213900-15-006683 ↗ |
| 2015-10-23 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-15-007893 ↗ |
| 2015-10-30 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-15-002915 ↗ |
| 2016-04-11 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-16-004175 ↗ |
| 2016-04-11 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-16-004176 ↗ |
| 2016-12-02 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-16-019119 ↗ |
| 2017-01-17 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-17-000398 ↗ |
| 2017-02-07 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-17-001005 ↗ |
| 2017-02-14 | 424B1 | 424B1 (final prospectus) | GWG Holdings, Inc. | 0001213900-17-001313 ↗ |
| 2017-02-14 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-17-000380 ↗ |
| 2017-08-31 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-17-009341 ↗ |
| 2017-10-10 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-17-010454 ↗ |
| 2017-11-28 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-17-012659 ↗ |
| 2017-11-30 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-17-012763 ↗ |
| 2017-12-01 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-17-003100 ↗ |
| 2017-12-04 | 424B1 | 424B1 (final prospectus) | GWG Holdings, Inc. | 0001213900-17-012881 ↗ |
| 2017-12-12 | 424B1 | 424B1 (final prospectus) | GWG Holdings, Inc. | 0001213900-17-013113 ↗ |
| 2020-03-30 | S-1 | S-1 (registration) | GWG Holdings, Inc. | 0001213900-20-007787 ↗ |
| 2020-05-15 | S-1/A | S-1/A (amendment) | GWG Holdings, Inc. | 0001213900-20-012630 ↗ |
| 2020-06-03 | EFFECT | EFFECT (declared effective) | GWG Holdings, Inc. | 9999999995-20-001325 ↗ |
| 2020-06-05 | 424B1 | 424B1 (final prospectus) | GWG Holdings, Inc. | 0001213900-20-014212 ↗ |
| 2021-03-11 | RW | RW (withdrawal request) | GWG Holdings, Inc. | 0001213900-21-014847 ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Abramson David H | Director | 11 | 2014–2018 | ||
| ACHESON WILLIAM | Officer | Chief Financial Officer | 13 | 2014–2019 | |
| Gangelhoff Jon | Officer | Chief Operating Officer | 10 | 2014–2017 | |
| Gensch Shawn R | Director | 10 | 2014–2016 | ||
| Maguire Charles H III | Director | 10 | 2014–2016 | ||
| McGregor Jeffrey L. | Director | 10 | 2014–2016 | ||
| SABES STEVEN F | Director,Officer; Director,Officer,TenPercentOwner | Exec VP & Secretary; Exec VP & Secretary; President and Secretary; Vice President and Secretary | 15 | 2014–2019 | |
| SIEGERT PAUL A | Director; Director,Officer | Chairman; Chairman and President; Executive Chairman | 4 | 2014–2015 | |
| Sabes Jon | Director,Officer; Director,Officer,TenPercentOwner | Chief Executive Officer | 17 | 2014–2019 | |
| FREEDMAN MICHAEL DAVID | Officer | President | 1 | 2014 | |
| Schwarzmann Mark Edward | Director | 3 | 2017–2018 | ||
| DONOHUE THOMAS J JR | Director | 2 | 2018 | ||
| Hinkle Jeffrey S. | TenPercentOwner | 1 | 2019 | ||
| Holland Murray T. | Officer,TenPercentOwner; TenPercentOwner | Interim CEO | 2 | 2019 | person page Fuzzy |
| FISHER RICHARD W | Director | 2 | 2019 | ||
| HICKS THOMAS O | Director | 3 | 2019–2020 | ||
| Zimmerman Bruce | Director | 2 | 2019 | ||
| CARUSO-CABRERA MICHELLE | Director | 2 | 2019 | ||
| de Weese David H | Director | 3 | 2019–2020 | ||
| GLASER DAVID | Director | 2 | 2019 | ||
| Heppner Brad K | Director | 3 | 2019–2020 | ||
| Schnitzer Bruce William | Director | 3 | 2019–2020 | ||
| STAUBACH ROGER T | Director | 2 | 2019 | ||
| STEIN SHELDON I | Director | 2 | 2019 | ||
| CANGANY PETER T JR | Director | 3 | 2019–2020 | ||
| CHAVENSON DAVID | Director | 3 | 2019–2020 | ||
| LOCKHART DENNIS P | Director | 3 | 2019–2020 | ||
| MASON KATHLEEN | Director | 2 | 2019 | ||
| Evans Timothy L | Officer | Chief Financial Officer | 1 | 2019 | |
| NICHOLSON LENNIE | Officer | General Counsel and Secretary | 1 | 2020 | |
| Bailey Roy W | Director | 2 | 2020 | ||
| Fine Daniel Phillip | Director | 1 | 2020 | ||
| Gruber David S | Director | 1 | 2020 | ||
| Stahl John A. | TenPercentOwner | 1 | 2020 | ||
| Horton Anthony R | Director | 1 | 2022 | ||
| Stein Jeffrey Scott | Director,Officer | Chief Restructuring Officer | 1 | 2022 | |
| Tucker Michael A | Officer | Chief Financial Officer | 1 | 2022 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2019-01-10 | GWG Holdings, Inc. | Other Banking and Financial Services | $270,135,160 | $270,135,160 | 23 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.