Current Report Filing (8-k)
August 08 2019 - 8:01AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(
d
) of
the
Securities Exchange Act of 1934
Date of Report (date of earliest event reported):
August 7, 2019
GWG Holdings, Inc.
(Exact name of registrant as specified in its
charter)
Delaware
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001-36615
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26-2222607
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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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220 South Sixth Street, Suite 1200, Minneapolis, MN
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55402
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(Address of principal executive offices)
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(Zip Code)
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(612) 746-1944
(Registrant's telephone number, including area
code)
Not applicable
(Former name or former address, if changed since
last report)
Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by
check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(b)
of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock
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GWGH
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NASDAQ Capital Market
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On August 7, 2019, GWG
Holdings, Inc. (the “Company”) filed with the Securities and Exchange Commission (the “SEC”) Prospectus
Supplement No. 7 to the prospectus that is a part of its registration statement on Form S-1 (SEC File No. 333-220288), which included
updated and restated risk factors. The Company is filing the risk factors attached hereto as Exhibit 99.1 for the purpose of making
corresponding updates to the risk factor disclosure contained in its Annual Report on Form 10-K for the fiscal year ended December
31, 2018, filed with the SEC on July 9, 2019. The updated risk factors filed as Exhibit 99.1 to this Current Report on Form 8-K
are incorporated herein by reference.
Item 9.01
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Financial Statements and Exhibits.
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(d)
Exhibits
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SIGNATURE
Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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GWG Holdings, Inc.
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Date: August 8, 2019
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By:
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/s/ William Acheson
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William Acheson
Chief Financial Officer
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