GWG Holdings, Inc. Contracts & Agreements

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Description of the Registrants Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
GWG Holdings, Inc.
Diversified Financial Services
DE
2020
Superpriority Secured Debtor In Possession Credit and Guarantee Agreement, dated as of December 15, 2022
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
MD
2022
Debtor-In-Possession Security Agreement, dated as of December 15, 2022
Security Agreements
GWG Holdings, Inc.
2022
Engagement Letter, dated April 5, 2022, between FTI and the Company
GWG Holdings, Inc.
Diversified Financial Services
CA
2022
Second Amendment, dated as of June 27, 2022, to Fifth Amended and Restated Credit Agreement, dated as of December 14, 2021, between GWG DLP Funding IV, LLC, as borrower, the...
Credit Agreements
GWG Holdings, Inc.
2022
Second Waiver and Amendment, dated as of June 28, 2022, to Credit Agreement, dated as of August 11, 2021, between GWG DLP Funding VI, LLC, as borrower, and National Founders, as...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
2022
Independent Director Agreement, dated June 2, 2022, between Anthony R. Horton and the Company
GWG Holdings, Inc.
Diversified Financial Services
DE
2022
Independent Director Agreement, dated June 14, 2022, between Jeffrey S. Stein and the Company
GWG Holdings, Inc.
2022
Consulting Agreement, dated as of June 1, 2022, between the Company and Jeffrey S. Stein
Consulting Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2022
Superpriority Secured Debtor In Possession Credit and Guarantee Agreement, dated as of April 25, 2022
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
MD
2022
Security Agreement, dated as of April 25, 2022
Security Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2022
Form of Superpriority Secured Debtor In Possession Credit Agreement
Credit Agreements
GWG Holdings, Inc.
2022
Wavier and Amendment to Credit Agreement, dated as of March 31, 2022, between GWG DLP Funding VI, LLC and National Founders LP
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
2022
Fifth Amended and Restated Loan and Security Agreement with GWG DLP Funding IV, LLC (as borrower), CLMG Corp. (as agent) and LNV Corporation (as lender), dated December 14, 2021
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2021
Description of the Registrants Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
GWG Holdings, Inc.
2021
Fourth Amended and Restated Loan and Security Agreement with GWG DLP Funding IV, LLC (as borrower), CLMG Corp. (as agent) and LNV Corporation (as lender), dated September 7, 2021
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
TX
2021
Credit Agreement, dated as of August 11, 2021, among GWG DLP Funding VI, LLC, as borrower, each lender from time to time party hereto and National Founders LP, as the...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Security Agreement, dated as of August 11, 2021, by GWG DLP Funding Holdings VI, LLC, as the pledgor, and National Founders LP, as administrative agent on behalf of the secured...
Security Agreements
GWG Holdings, Inc.
2021
Security Agreement, dated as of August 11, 2021, by GWG DLP Funding VI, LLC, as the pledgor, and National Founders LP, as administrative agent on behalf of the secured parties
Security Agreements
GWG Holdings, Inc.
2021
Guarantee, dated as of August 11, 2021, by GWG Holdings, Inc., as guarantor, in favor of National Founders LP, as administrative agent for the benefit of the secured parties
Guarantee Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Third Amended and Restated Loan and Security Agreement, dated as of June 28, 2021, with LNV Corporation, as lender, and CLMG Corp., as administrative agent
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2021
Amendment No. 2 to Second Amended and Restated Credit Agreement, dated as of June 28, 2021, with HCLP Nominees, L.L.C., as lender
Credit Agreements
GWG Holdings, Inc.
2021
Amendment No. 2 to Second Amended and Restated Second Lien Credit Agreement, dated as of June 28, 2021, with HCLP Nominees, L.L.C., as lender
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
TX
2021
Amendment No. 1 to Second Amended and Restated Credit Agreement
Credit Agreements
GWG Holdings, Inc.
2021
Amendment No. 1 to Second Amended and Restated Second Lien Credit Agreement
Credit Agreements
GWG Holdings, Inc.
2021
Supplemental Indenture, dated as of December 31, 2020
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
Form Managing Broker-Dealer Agreement with Emerson Equity
GWG Holdings, Inc.
Diversified Financial Services
2020
Form of Soliciting Dealer Agreement
GWG Holdings, Inc.
Diversified Financial Services
2020
Amendment No. 2 to the Indenture
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
2020
Second Amended and Restated Loan and Security Agreement with GWG DLP Funding IV, LLC (as borrower), CLMG Corp. (as agent) and LNV Corporation (as lender), dated November 1, 2019
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2019
Forbearance Letter Agreement dated July 3, 2019 between GWG DLP Funding IV, LLC and CLMG Corp. (as agent)
Forbearance Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Form of Non-employee Director Restricted Stock Agreement
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Employment Agreement dated as of May 31, 2019 by and between GWG Holdings, Inc. and Murray T. Holland
Employment Agreements
GWG Holdings, Inc.
2019
Performance Share Unit Agreement dated as of May 31, 2019 by and between GWG Holdings, Inc. and Murray T. Holland
Bonus & Incentive Agreements
GWG Holdings, Inc.
2019
Promissory Note dated May 31, 2019 made by and on behalf of certain LiquidTrust Borrowers
Note Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2019
Intercreditor Agreement dated May 31, 2019 between the GWG Life and HCLP Nominees, L.L.C
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Intercreditor Agreement dated May 31, 2019 between the GWG Life Beneficient Holdings, Inc
GWG Holdings, Inc.
2019
Amendment to and Termination of Stockholders Agreement
Termination Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Consent and Joinder to Amended and Restated Pledge and Security Agreement
Security Agreements
GWG Holdings, Inc.
2019
Form of Indemnification Agreement
Indemnification Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Form of Performance Share Unit Agreement under the 2013 Stock Incentive Plan
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
Registration Rights Agreement
Registration Rights Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Stockholders Agreement
GWG Holdings, Inc.
Diversified Financial Services
DE
2019
Orderly Marketing Agreement
Marketing Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2019
Option Agreement
GWG Holdings, Inc.
2019
Amendment No. 1 to Commercial Loan Agreement
Loan Agreements
GWG Holdings, Inc.
2019
Second Amendment to Master Exchange Agreement, dated June 29, 2018
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Certificate of Designations of Series B Convertible Preferred Stock
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2018
Supplemental Indenture dated as of August 10, 2018 to the Amended and Restated Indenture with Bank of Utah, dated October 23, 2017
Indenture Agreements
GWG Holdings, Inc.
2018
Third Amendment to Master Exchange Agreement, dated August 10, 2018, between GWG Holdings, Inc., GWG Life, LLC, The Beneficient Company Group, L.P., MHT Financial SPV, LLC, a...
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Commercial Loan Agreement, dated August 10, 2018, between GWG Holdings, Inc. and The Beneficient Company Group, L.P
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2018
Exchangeable Note, dated August 10, 2018, from The Beneficient Company Group, L.P. to GWG Holdings, Inc. and
Note Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2018
Registration Rights Agreement, dated August 10, 2018, between GWG Holdings, Inc. and various related trusts
Registration Rights Agreements
GWG Holdings, Inc.
2018
Registration Rights Agreement, dated August 10, 2018, between GWG Holdings, Inc. and The Beneficient Company Group, L.P
Registration Rights Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
Amended and Restated Master Exchange Agreement, dated January 18, 2018
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
First Amendment to Master Exchange Agreement, dated April 30, 2018
Exchange Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2018
GWG Holdings, Inc. 2013 Stock Incentive Plan, as amended
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2018
Amendment No. 1 to Amended and Restated Indenture with Bank of Utah, dated March 27, 2018
Indenture Agreements
GWG Holdings, Inc.
2018
Amended and Restated Indenture by and among GWG Holdings, Inc., as obligor, GWG Life, LLC, as guarantor, and Bank of Utah, as trustee, dated effective as of October 23, 2017
Indenture Agreements
GWG Holdings, Inc.
2017
Amended and Restated Pledge and Security Agreement by and among GWG Holdings, Inc., GWG Life, LLC, Jon R. Sabes and Steven F. Sabes, and Bank of Utah, dated effective as of...
Security Agreements
GWG Holdings, Inc.
2017
Amended and Restated Loan and Security Agreement by and among GWG DLP Funding IV, LLC, as borrower, certain lenders, and CMLG Corp., as administrative agent, dated effective as of...
Loan Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2017
Employment Agreement with William Acheson, dated June 28, 2017
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
Stock Option Agreement with William Acheson, dated June 29, 2017
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
Stock Option Agreement with William Acheson, dated June 29, 2017 (performance based)
Bonus & Incentive Agreements
GWG Holdings, Inc.
2017
GWG Holdings, Inc. 2013 Stock Incentive Plan, as amended
Bonus & Incentive Agreements
GWG Holdings, Inc.
2017
EMERSONEQUITY, LLC FORMOF DEALER MANAGER AGREEMENT ________________,2017
GWG Holdings, Inc.
Diversified Financial Services
2017
CERTIFICATEOF DESIGNATION of SERIES2 REDEEMABLE PREFERRED STOCK GWGHOLDINGS, INC.
Stock Agreements
GWG Holdings, Inc.
2017
GWGHOLDINGS, INC. Series2 Redeemable Preferred Stock SUBSCRIPTIONAGREEMENT
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2017
TABLEOF CONTENTS
GWG Holdings, Inc.
2016
GWGHOLDINGS, INC. 220South Sixth Street Suite 1200 Minneapolis,Minnesota 55402
GWG Holdings, Inc.
2015
GWGHOLDINGS, INC. RedeemablePreferred Stock SUBSCRIPTIONAGREEMENT
Stock Agreements
GWG Holdings, Inc.
2015
GWG Holdings, Inc. 1,250,000 Shares Common Stock UNDERWRITING AGREEMENT
Underwriting Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2014
GWG Holdings, Inc. 1,250,000 Shares Common Stock UNDERWRITING AGREEMENT
Underwriting Agreements
GWG Holdings, Inc.
2014
GWGHOLDINGS, INC. CORPORATE STOCK TRANSFER, INC. TRANSFER FEE: AS REQUIRED
GWG Holdings, Inc.
Diversified Financial Services
2014
GWG HOLDINGS, INC. STOCK OPTION AGREEMENT
Stock Agreements
GWG Holdings, Inc.
2014
Employment Agreement
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2014
Exhibit 10.16GWG HOLDINGS, INC.2013 STOCK INCENTIVE PLAN(MARCH 27, 2013)
Bonus & Incentive Agreements
GWG Holdings, Inc.
Diversified Financial Services
2014
GWG HOLDINGS, INC. STOCK OPTION AGREEMENT
Stock Agreements
GWG Holdings, Inc.
2014
GWG HOLDINGS, INC. 220 South Sixth Street Suite 1200 Minneapolis, Minnesota 55402
GWG Holdings, Inc.
2013
AMENDED AND RESTATED CREDIT AND SECURITY AGREEMENT among GWG DLP FUNDING II, LLC as the Borrower GWG LIFE SETTLEMENTS, LLC as the Seller and as the Master Servicer GWG HOLDINGS,...
Credit Agreements
GWG Holdings, Inc.
2013
GENERAL REAFFIRMATION AND MODIFICATION AGREEMENT
Modification Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2013
INDENTURE Dated as of October 19, 2011, by and among GWG Holdings, Inc., as obligor GWG Life Settlements, LLC, as guarantor and Bank of Utah, as trustee $250,000,000 Secured...
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
PLEDGE AND SECURITY AGREEMENT
Security Agreements
GWG Holdings, Inc.
2011
INTERCREDITOR AGREEMENT
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
GWG HOLDINGS, INC. 220 South Sixth Street Suite 1200 Minneapolis, Minnesota 55402
GWG Holdings, Inc.
2011
CREDIT AND SECURITY AGREEMENT among GWG DLP FUNDING II, LLC as a Borrower UNITED LENDING SPV, LLC as a Borrower GWG LIFE SETTLEMENTS, LLC as a Seller and Life Settlement Master...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
Employment Agreement
Employment Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
Employment Agreement
Employment Agreements
GWG Holdings, Inc.
2011
Employment Agreement
Employment Agreements
GWG Holdings, Inc.
2011
FORM OF INDENTURE Dated as of , 2011, by and among GWG Holdings, Inc., as obligor GWG Life Settlements, LLC, as guarantor and Bank of Utah, as trustee $250,000,000 Secured...
Indenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2011
FORM OF DEBENTURE
Debenture Agreements
GWG Holdings, Inc.
Diversified Financial Services
2011
GWG HOLDINGS, INC. RENEWABLE SECURED DEBENTURE SUBSCRIPTION AGREEMENT
Debenture Agreements
GWG Holdings, Inc.
2011
FORM OF PLEDGE AND SECURITY AGREEMENT
Security Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
FORM OF INTERCREDITOR AGREEMENT
GWG Holdings, Inc.
2011
CREDIT AND SECURITY AGREEMENT among GWG DLP FUNDING II, LLC as a Borrower UNITED LENDING SPV, LLC as a Borrower GWG LIFE SETTLEMENTS, LLC as a Seller and Life Settlement Master...
Credit Agreements
GWG Holdings, Inc.
Diversified Financial Services
NY
2011
CONSENT AND AMENDMENT NO. 2 Dated as of June 10, 2011 in relation to CREDIT AND SECURITY AGREEMENT Dated as of July 15, 2008
Credit Agreements
GWG Holdings, Inc.
2011
PERFORMANCE GUARANTY
Bonus & Incentive Agreements
GWG Holdings, Inc.
2011
REAFFIRMATION OF GUARANTY
Guaranty Agreements
GWG Holdings, Inc.
Diversified Financial Services
2011
GWG HOLDINGS, INC. 220 South Sixth Street Suite 1200 Minneapolis, Minnesota 55402
GWG Holdings, Inc.
2011
PURCHASE AND SALE AGREEMENT
Purchase Agreements
GWG Holdings, Inc.
Diversified Financial Services
MN
2011
TABLE OF CONTENTS
GWG Holdings, Inc.
2011
ADDENDUM NO. 1. TO SUB-SUBLEASE AGREEMENT
GWG Holdings, Inc.
Diversified Financial Services
MN
2011