GWG Holdings, Inc. Contracts & Agreements

108 Contracts & Agreements
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Superpriority Secured Debtor-in-Possession Credit and Guaranty Agreement among GWG Holdings, Subsidiaries, and Vida Insurance Credit Opportunity Fund (December 15, 2022)
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
MD
2022
Debtor-in-Possession Security Agreement among GWG Holdings, Inc., Subsidiaries, and Vida Insurance Credit Opportunity Fund III GP, LLC (Collateral Agent) dated December 15, 2022
Security Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2022
Engagement Letter for Financial Advisory Services between FTI Consulting, Inc. and GWG Holdings, Inc. (April 5, 2022)
Advisory Agreements
GWG Holdings, Inc.
Diversified Financial Services
CA
2022
Second Amendment to Fifth Amended and Restated Loan and Security Agreement by and among GWG DLP Funding IV, LLC, Lenders, and CLMG Corp.
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2022
Second Waiver and Amendment to Credit Agreement between GWG DLP Funding VI, LLC and National Founders LP (June 28, 2022)
Modification Agreements
GWG Holdings, Inc.
Diversified Financial Services
2022
Independent Director Agreement between GWG Holdings, Inc. and Anthony R. Horton (June 2, 2022)
Consulting Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2022
Independent Director Agreement between GWG Holdings, Inc. and Jeffrey S. Stein (June 14, 2022)
Consulting Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2022
Consulting Agreement between GWG Holdings, Inc. and Jeffrey S. Stein (Chief Restructuring Officer)
Consulting Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2022
Superpriority Secured Debtor-in-Possession Credit and Guaranty Agreement among GWG Holdings, Inc., GWG Life, LLC, Subsidiaries, Lenders, and National Founders LP (April 25, 2022)
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
MD
2022
Debtor-in-Possession Security Agreement among GWG Holdings, Inc., GWG Life, LLC, Subsidiaries, and National Founders LP (Collateral Agent) dated April 25, 2022
Security Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2022
Superpriority Secured Debtor-in-Possession Credit and Guaranty Agreement among GWG Holdings, Inc., GWG Life, LLC, Subsidiaries, Lenders, and National Founders LP
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
MD
2022
Waiver and Amendment to Credit Agreement between GWG DLP Funding VI, LLC and National Founders LP (March 31, 2022)
Waiver Agreements
GWG Holdings, Inc.
Diversified Financial Services
2022
Fifth Amended and Restated Loan and Security Agreement among GWG DLP Funding IV, LLC, CLMG Corp., and LNV Corporation, dated December 14, 2021
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2021
Description of GWG Holdings, Inc. Common Stock and Related Governance Provisions
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Fourth Amended and Restated Loan and Security Agreement among GWG DLP Funding IV, LLC, Lenders, and CLMG Corp. (September 7, 2021)
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
TX
2021
Credit Agreement among GWG DLP Funding VI, LLC, National Founders LP, and Lenders (August 11, 2021)
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Security Agreement between GWG DLP Funding Holdings VI, LLC and National Founders LP (August 11, 2021)
Security Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Security Agreement between GWG DLP Funding VI, LLC and National Founders LP (August 11, 2021)
Security Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
GWG Holdings, Inc. Guarantee Agreement in Favor of National Founders LP (August 11, 2021)
Guaranty Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Third Amended and Restated Loan and Security Agreement among GWG DLP Funding IV, LLC, LNV Corporation, and CLMG Corp. (June 28, 2021)
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2021
Amendment No. 2 to Second Amended and Restated Credit Agreement by and among Beneficient Capital Company II, L.L.C., Beneficient Company Holdings, L.P., The Beneficient Company...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
TX
2021
Amendment No. 2 to Second Amended and Restated Second Lien Credit Agreement by and among Beneficient Capital Company II, L.L.C., Beneficient Company Holdings, L.P., The...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
TX
2021
Amendment No. 1 to Second Amended and Restated Credit Agreement among Beneficient Capital Company II, L.L.C., Beneficient Company Holdings, L.P., and HCLP Nominees, L.L.C.
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
2021
Amendment No. 1 to Second Amended and Restated Second Lien Credit Agreement by and among Beneficient Capital Company II, L.L.C., Beneficient Company Holdings, L.P., and HCLP...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
2021
Supplemental Indenture to Amended and Restated Indenture for Liquidity Bonds by GWG Holdings, GWG Life, and Bank of Utah (Trustee)
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Dealer Manager Agreement between GWG Holdings, Inc. and Emerson Equity, LLC (May 5, 2020)
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
2020
Soliciting Dealer Agreement between GWG Holdings, Inc. and Emerson Equity, LLC for L Bonds Offering
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
2020
Description of GWG Holdings, Inc. Common Stock and Related Governance Provisions
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2020
Amendment No. 2 to Amended and Restated Indenture among GWG Holdings, Inc., GWG Life, LLC, and Bank of Utah
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
2020
Second Amended and Restated Loan and Security Agreement among GWG DLP Funding IV, LLC, CLMG Corp., and LNV Corporation, dated November 1, 2019
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2019
Forbearance Letter Agreement between GWG DLP Funding IV, LLC and CLMG Corp. dated July 3, 2019
Forbearance Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
GWG Holdings, Inc. Non-Employee Director Restricted Stock Unit Agreement (2019)
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Employment Agreement between GWG Holdings, Inc. and Murray T. Holland dated May 31, 2019
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Performance Share Unit Agreement between GWG Holdings, Inc. and Murray T. Holland (May 31, 2019)
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Promissory Note Between GWG Life, LLC and Certain LiquidTrust Borrowers Dated May 31, 2019
Note Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2019
Intercreditor Agreement dated May 31, 2019 between HCLP Nominees, L.L.C. and GWG Life, LLC
Subordination Agreement
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Intercreditor Agreement dated May 31, 2019 between Beneficient Holdings, Inc. and GWG Life, LLC
Subordination Agreement
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Amendment and Termination of Stockholders Agreement between GWG Holdings, Inc. and Seller Trusts
Shareholders Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Consent and Joinder to Amended and Restated Pledge and Security Agreement among Jon R. Sabes, Steven F. Sabes, Beneficient Capital Company, AltiVerse Capital Markets, and Bank of...
Pledge Agreements
GWG Holdings, Inc.
Diversified Financial Services
UT
2019
Director and Officer Indemnification Agreement between GWG Holdings, Inc. and Indemnitee
Indemnification Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
GWG Holdings, Inc. Performance Share Unit Agreement (2019-2021 Awards) under 2013 Stock Incentive Plan
Compensation Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Registration Rights Agreement (Common Stock) between GWG Holdings, Inc. and Seller Trusts, dated December 27, 2018
Registration Rights Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Stockholders Agreement among GWG Holdings, Inc. and Seller Trusts Dated December 27, 2018
Shareholders Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Orderly Marketing Agreement between GWG Holdings, Inc. and Trust Advisors to Seller Trusts (December 27, 2018)
Distribution Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2019
Participating Option Agreement between The Beneficient Company Group, L.P. and GWG Holdings, Inc.
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Amendment No. 1 to Commercial Loan Agreement between GWG Holdings, Inc. and The Beneficient Company Group, L.P.
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Second Amendment to Master Exchange Agreement among GWG Holdings, Inc., GWG Life, LLC, The Beneficient Company Group, L.P., MHT Financial SPV, LLC, and Exchange Trusts (June 29,...
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Certificate of Designation of Series B Convertible Preferred Stock of GWG Holdings, Inc.
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2018
Supplemental Indenture to Amended and Restated Indenture for Seller Trust L Bonds (GWG Holdings, GWG Life, Bank of Utah)
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2018
Third Amendment to Master Exchange Agreement among GWG Holdings, GWG Life, The Beneficient Company Group, MHT Financial SPV, and Seller Trusts (August 10, 2018)
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Commercial Loan Agreement between GWG Life, LLC and The Beneficient Company Group, L.P. dated August 10, 2018
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2018
Exchangeable Promissory Note between The Beneficient Company Group, L.P. and GWG Holdings, Inc. dated August 10, 2018
Note Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2018
Registration Rights Agreement (L Bonds) between GWG Holdings, Inc. and Seller Trusts, dated August 10, 2018
Registration Rights Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Registration Rights Agreement between GWG Holdings, Inc. and The Beneficient Company Group, L.P. dated August 10, 2018
Registration Rights Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Amended and Restated Master Exchange Agreement among GWG Holdings, Inc., GWG Life, LLC, The Beneficient Company Group, L.P., MHT Financial SPV, LLC, and Seller Exchange Trusts...
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
First Amendment to Master Exchange Agreement among GWG Holdings, GWG Life, Beneficient Company Group, MHT Financial SPV, and Exchange Trusts
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
GWG Holdings, Inc. 2013 Stock Incentive Plan (as Amended March 10, 2018)
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2018
Amended and Restated Pledge and Security Agreement among GWG Holdings, Inc., GWG Life, LLC, Jon R. Sabes, Steven F. Sabes, and Bank of Utah (October 23, 2017)
Pledge Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2017
Amended and Restated Loan and Security Agreement among GWG DLP Funding IV, LLC, Certain Lenders, and CLMG Corp. (September 27, 2017)
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2017
Employment Agreement between GWG Holdings, Inc. and William Acheson dated June 28, 2017
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
GWG Holdings, Inc. 2013 Stock Incentive Plan (as Amended March 10, 2017)
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
Dealer Manager Agreement between GWG Holdings, Inc. and Emerson Equity, LLC for Series 2 Redeemable Preferred Stock Offering
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
GWG Holdings, Inc. Series 2 Redeemable Preferred Stock Subscription Agreement
Subscription Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
Loan and Security Agreement among GWG DLP Funding IV, LLC, Certain Lenders, and CLMG Corp. (Administrative Agent) dated September 14, 2016
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2016
Managing Broker-Dealer Agreement between GWG Holdings, Inc. and Emerson Equity LLC (August 31, 2015)
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2015
GWG Holdings, Inc. Redeemable Preferred Stock Subscription Agreement
Subscription Agreements
GWG Holdings, Inc.
Diversified Financial Services
2015
GWG Holdings, Inc. Stock Assignment and Transfer Form with Corporate Stock Transfer, Inc.
Assignment Agreements
GWG Holdings, Inc.
Diversified Financial Services
2014
Employment Agreement between GWG Life Settlements, LLC, GWG Holdings, Inc., and William Acheson
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2014
GWG Holdings, Inc. 2013 Stock Incentive Plan (March 27, 2013)
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2014
Third Amended and Restated Managing Broker-Dealer Agreement between GWG Holdings, Inc. and Arque Capital, Ltd. (Effective February 28, 2013)
GWG Holdings, Inc.
Diversified Financial Services
DE
2013
Amended and Restated Credit and Security Agreement among GWG DLP Funding II, LLC, GWG Life Settlements, LLC, GWG Holdings, Inc., Autobahn Funding Company LLC, and DZ Bank AG
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2013
Pledge and Security Agreement among GWG Holdings, Inc., GWG Life Settlements, LLC, Jon R. Sabes, Steven F. Sabes, and Bank of Utah as Trustee
Pledge Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Intercreditor Agreement among GWG Lifenotes Trust, Lord Securities Corporation, and Bank of Utah dated October 19, 2011
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
Managing Broker-Dealer Agreement between GWG Holdings, Inc. and Arque Capital, Ltd.
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
Employment Agreement between GWG Life Settlement, LLC and Jon R. Sabes
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Employment Agreement between GWG Life Settlement, LLC, GWG Holdings, Inc., and Steven F. Sabes
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Employment Agreement between GWG Life Settlement, LLC, GWG Holdings, Inc., and Paul A. Siegert
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
GWG Holdings, Inc. Renewable Secured Debenture Agreement with Bank of Utah as Trustee
Debenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
2011
GWG Holdings, Inc. Renewable Secured Debenture Subscription Agreement
Subscription Agreements
GWG Holdings, Inc.
Diversified Financial Services
2011
Pledge and Security Agreement among GWG Holdings, Inc., GWG Life Settlements, LLC, Jon R. Sabes, Steven F. Sabes, and Bank of Utah as Trustee
Pledge Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Intercreditor Agreement among GWG Lifenotes Trust, Lord Securities Corporation, and Bank of Utah (2011)
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
Consent and Amendment No. 2 to Credit and Security Agreement among GWG DLP Funding II, LLC, United Lending SPV, LLC, GWG Life Settlements, LLC, United Lending, LLC, Opportunity...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Performance Guaranty Agreement by GWG Holdings, LLC in Favor of GWG DLP Funding II, LLC, United Lending SPV, LLC, Autobahn Funding Company LLC, and DZ Bank AG
Guaranty Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Pledge Agreement between GWG Life Notes Trust and Members of GWG Holdings, LLC (November 15, 2010)
Pledge Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Reaffirmation of Performance Guaranty by GWG Holdings, Inc. in Favor of DZ Bank AG and Autobahn Funding Company LLC
Guaranty Agreements
GWG Holdings, Inc.
Diversified Financial Services
2011
Managing Broker-Dealer Agreement between GWG Holdings, Inc. and Arque Capital, Ltd.
Agency Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
Amended and Restated Investment Agreement between Insurance Strategies Fund, LLC and GWG Holdings, LLC and Subsidiaries
Investment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Shareholders' Agreement among GWG Holdings, Inc., Athena Securities Group Limited, and Athena Structured Funds PLC (2011)
Shareholders Agreements
GWG Holdings, Inc.
Diversified Financial Services
2011
Addendum No. 1 to Sub-Sublease Agreement between Opportunity Finance, LLC and GWG Life, LLC
Assignment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Amendment No. 1 to Amended and Restated Indenture among GWG Holdings, GWG Life, and Bank of Utah (March 27, 2018)
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
2018
Amended and Restated Indenture among GWG Holdings, Inc., GWG Life, LLC, and Bank of Utah (October 23, 2017)
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2017
Executive Stock Option Agreement between GWG Holdings, Inc. and William B. Acheson dated June 29, 2017
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
GWG Holdings, Inc. Executive Stock Option Agreement with William B. Acheson (Performance-Based, June 29, 2017)
Warrant Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
Certificate of Designation for Series 2 Redeemable Preferred Stock of GWG Holdings, Inc.
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
GWG Holdings, Inc. Underwriting Agreement with Newport Coast Securities, Inc. for 1,250,000 Shares of Common Stock
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2014
GWG Holdings, Inc. Underwriting Agreement with Newport Coast Securities, Inc. for 1,250,000 Shares of Common Stock
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2014
GWG Holdings, Inc. Stock Option Agreement with Optionee under 2013 Stock Incentive Plan
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2014
Amendment No. 1 to Amended and Restated Credit and Security Agreement by and among GWG DLP Funding II, LLC, GWG Life Settlements, LLC, GWG Holdings, Inc., Autobahn Funding Company...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2014
GWG Holdings, Inc. Stock Option Agreement with Optionee under 2013 Stock Incentive Plan
Warrant Agreements
GWG Holdings, Inc.
Diversified Financial Services
2014
Purchase and Sale Agreement among GWG Holdings, Inc., Athena Securities Limited, Athena Securities Group Limited, and GWG Securities International PLC (June 28, 2013)
Purchase Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2013
General Reaffirmation and Modification Agreement between GWG Holdings, Inc. and DZ Bank AG (January 25, 2013)
Modification Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2013
Indenture Agreement among GWG Holdings, Inc., GWG Life Settlements, LLC, and Bank of Utah for $250,000,000 Secured Debentures
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
Credit and Security Agreement among GWG DLP Funding II, LLC, United Lending SPV, LLC, GWG Life Settlements, LLC, United Lending, LLC, Opportunity Bridge Funding, LLC, GWG...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Indenture Agreement among GWG Holdings, Inc., GWG Life Settlements, LLC, and Bank of Utah for $250,000,000 Secured Debentures
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
Credit and Security Agreement among GWG DLP Funding II, LLC, United Lending SPV, LLC, GWG Life Settlements, LLC, United Lending, LLC, Opportunity Bridge Funding, LLC, GWG...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Consent and Amendment No. 1 to Credit and Security Agreement among GWG DLP Funding II, LLC, United Lending SPV, LLC, and Autobahn Funding Company LLC
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Second Amended and Restated Note Issuance and Security Agreement among GWG Life Settlements, LLC, Noteholders, Lord Securities Corporation, and GWG LifeNotes Trust (November 15,...
Note Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Purchase and Sale Agreement between GWG Holdings, Inc., Athena Securities Group Ltd., and Athena Structured Funds PLC
Purchase Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011