Current Report Filing (8-k)
December 09 2021 - 6:02AM
Edgar (US Regulatory)
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0001522690
2021-12-08
2021-12-08
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xbrli:shares
iso4217:USD
xbrli:shares
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 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): December 8, 2021
GWG
Holdings, Inc.
(Exact
name of registrant as specified in its charter)
Commission
File Number: 001-36615
Delaware
|
|
26-2222607
|
(State
or other jurisdiction
of
incorporation)
|
|
(IRS
Employer
Identification
No.)
|
325
North St. Paul Street, Suite 2650, Dallas, TX 75201
(Address
of principal executive offices, including zip code)
(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:
☐
|
Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
☐
|
Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
☐
|
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
☐
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol(s)
|
|
Name
of each exchange on which
registered
|
Common Shares
|
|
GWGH
|
|
Nasdaq Capital Markets
|
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. ☐
Item
2.02 Results of Operations and Financial Condition.
On December 8, 2021, GWG Holdings, Inc. issued
a press release reporting its financial results for the third fiscal quarter ended September 30, 2021. The full text of the press release
is furnished as Exhibit 99.1 to this Form 8-K.
The
information in this Current Report on Form 8-K, including the information contained in the press release furnished as Exhibit 99.1, is
deemed to be “furnished” and not “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as
amended (the “Exchange Act”), is not otherwise subject to the liabilities of that Section, and shall not be deemed incorporated
by reference into any filing under the Exchange Act or the Securities Act of 1933, as amended, regardless of any general incorporation
language in such filing.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its
behalf by the undersigned hereunto duly authorized.
|
GWG HOLDINGS,
INC.
|
|
|
Date: December 8, 2021
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By:
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/s/ Timothy L. Evans
|
|
Name:
|
Timothy L. Evans
|
|
Title:
|
Chief Financial Officer
|
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