SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
to Section 13 or 15(d) of
Securities Exchange Act of 1934
of Report (date of earliest event reported): August 17, 2020
name of registrant as specified in its charter)
File Number: 001-36615
or other jurisdiction
North St. Paul Street, Suite 2650, Dallas, TX 75201
of principal executive offices, including zip code)
telephone number, including area code)
(Former name or former address, if changed since last report)
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:
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
registered pursuant to Section 12(b) of the Act:
of each class
of each exchange on which registered
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).
growth company ☐
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. ☐
of Operations and Financial Condition.|
August 17, 2020, GWG Holdings, Inc. issued a press release reporting the financial results for its second fiscal quarter ended
June 30, 2020. The full text of the press release is furnished as Exhibit 99.1 to this Form 8-K.
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.
Statements and Exhibits.
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.
August 17, 2020