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): November 8, 2016
GWG Holdings, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | None | 26-2222607 | ||
| (State or other jurisdiction | (Commission File Number) | (IRS Employer | ||
| of incorporation) | 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:
| ☐ | 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)) |
| Item 2.02 | Results of Operations and Financial Condition. |
On November 8, 2016, GWG Holdings, Inc. issued a press release reporting the financial results for its fiscal quarter ended September 30, 2016.
| Item 7.01 | Regulation FD Disclosure. |
As indicated above, on November 8, 2016, GWG Holdings, Inc. issued a press release. The information reported under Items 2.02, 7.01 and 9.01 of this report is to be considered “filed” with, and not merely furnished to, the Securities and Exchange Commission. A copy of the press release reporting the information included in Items 2.02 and 7.01 is attached as Exhibit 99.1 to this report.
| Item 9.01 | Financial Statements and Exhibits. |
| (d) | Exhibits |
| 99.1 | Press release dated November 8, 2016 |
* * * * * * *
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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.
| GWG Holdings, Inc. | ||
| Date: November 8, 2016 | By: | /s/ William Acheson |
| William Acheson | ||
| Chief Financial Officer | ||
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Exhibit Index
| Exhibit No. | Description | |
99.1 |
Press release dated November 8, 2016 |
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