Form 15-15D - Suspension of duty to report [Section 13 and 15(d)]
January 02 2024 - 6:05AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
15
CERTIFICATION
AND NOTICE OF TERMINATION OF REGISTRATION
UNDER
SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934
OR
SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d)
OF
THE SECURITIES EXCHANGE ACT OF 1934.
Commission
File No.
001-36615
333-174887
333-197227
333-206626
333-214896
333-220288
333-226974
333-237458
GWG
Holdings, Inc.*
(Exact
name of registrant as specified in its charter)
325
N. St. Paul Street, Suite 2650
Dallas,
Texas 75201
(612) 746-1944
(Address,
including zip code, and telephone number, including area code, of registrant’s principal executive offices)
Common
Stock, par value $.001 per share
Redeemable Preferred Stock, par value $.001 per share
Series 2 Redeemable Preferred Stock, par value $.001 per share
L Bonds
Guarantee of L Bonds*
(Title
of each class of securities covered by this Form)
None
(Titles
of all other classes of securities for which a duty to file reports under Section 13(a) or 15(d) remains)
Please
place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:
Rule
12g-4(a)(1) |
|
☒ |
Rule
12g-4(a)(2) |
|
☐ |
Rule
12h-3(b)(1)(i) |
|
☐ |
Rule
12h-3(b)(1)(ii) |
|
☐ |
Rule
15d-6 |
|
☒ |
Rule
15d-22(b) |
|
☐ |
Approximate
number of holders of record for all classes as of the certification or notice date: Zero
| * | GWG
Life, LLC (the “Co-Registrant”) is included in this certification and notice as a co-registrant. The address and telephone
number of the Co-Registrant is 325 North St. Paul Street, Suite 2650, Dallas, Texas 75201 and (612) 746-1944. The Co-Registrant
was the guarantor of L Bonds issued by GWG Holdings, Inc. (the “Registrant”) prior to their cancellation on the Effective
Date (as defined below). The following Commission File Numbers are applicable for this certification and notice with respect to the Co-Registrant:
333-174887-01; 333-197227-01; 333-220288-01; 333-237458-01. |
Explanatory
Note
On
April 20, 2023, the Registrant and certain of its subsidiaries including the Co-Registrant (collectively, the “Debtors”)
filed a voluntary petition for reorganization under chapter 11 of title 11 of the U.S. Bankruptcy Code (the “Code”) in the
Bankruptcy Court for the Southern District of Texas (the “Court”). On June 20, 2023, the Court entered a confirmation order
(Dkt. No. 1952) under the Code, confirming the Debtors’ Further Modified Second Amended Joint Chapter 11 Plan, Submitted
by the Debtors, the Bondholder Committee, and L Bond Management, LLC as Co-Proponents (Dkt. No. 1678) (the “Plan”).
On August 1, 2023, the Plan became effective (the “Effective Date”). On the Effective Date, pursuant to the Plan, the Registrant
and the Co-Registrant were dissolved, all securities of the Registrant and the Co-Registrant were cancelled, and substantially all assets
of the Registrant were transferred to liquidating trusts in accordance with the Plan.
Pursuant
to the requirements of the Securities Exchange Act of 1934, each of GWG Holdings, Inc. and GWG Life, LLC has caused this certification/notice
to be signed on its behalf by the undersigned duly authorized person.
|
GWG Holdings, Inc. |
|
GWG Life, LLC |
|
|
|
|
Date: January 2, 2024 |
By: |
/s/ Elizabeth C. Freeman |
|
|
Name: |
Elizabeth C. Freeman |
|
|
Title: |
Authorized Signatory |
2
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