UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K/A

 

AMENDMENT NO. 1 to

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of Report (date of earliest event reported): April 16, 2016

 

GWG Holdings, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   None   26-2222607
(State or other jurisdiction
of incorporation)		   (Commission File Number)   (IRS Employer
Identification No.)

 

220 South Sixth Street, Suite 1200, Minneapolis, MN   55402
(Address of principal executive offices)   (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:

 

  o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

  
 

 

 NOTE OF EXPLANATION  

  

      GWG Holdings, Inc. is filing this Amendment No. 1 to its Current Report on Form 8-K, to file the press release attached to this report as Exhibit 99.1. The attached press release corrects an error contained in the press release attached to the original Current Report on Form 8-K filed on August 16, 2016 with respect to non-GAAP net asset value reported therein.

 

Item 2.02 Results of Operations and Financial Condition.

 

On August 19, 2016, GWG Holdings, Inc. issued a press release correcting certain non-GAAP financial information contained in its Quarterly Report on Form 10-Q filed on August 12, 2016, and a press release issued on August 16, 2016, in each case relating to its fiscal quarter ended June 30, 2016. This correcting press release shall be considered “filed” (and not “furnished”) as part of this report on Form 8-K.

 

Item 9.01 Financial Statements and Exhibits.

 

(d)           Exhibits

 

99.1    GWG Holdings, Inc. Press Release dated August 19, 2016

 

 

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.

 

  GWG Holdings, Inc.
     
Date: August 19, 2016 By: /s/ William Acheson
    William Acheson
    Chief Financial Officer

 

 

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Exhibit Index

 

Exhibit No.   Description
     
99.1   GWG Holdings, Inc. Press Release dated August 19, 2016

 

 

 

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