0001193125-13-129193.txt : 20130327 0001193125-13-129193.hdr.sgml : 20130327 20130327153040 ACCESSION NUMBER: 0001193125-13-129193 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130327 DATE AS OF CHANGE: 20130327 GROUP MEMBERS: ANDREW DAKOS GROUP MEMBERS: BROOKLYN CAPITAL MANAGEMENT GROUP MEMBERS: PHILLIP GOLDSTEIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Imperial Holdings, Inc. CENTRAL INDEX KEY: 0001494448 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 300663473 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86093 FILM NUMBER: 13719723 BUSINESS ADDRESS: STREET 1: 701 PARK OF COMMERCE BOULEVARD STREET 2: SUITE 301 CITY: BOCA RATON STATE: FL ZIP: 33487 BUSINESS PHONE: 561-995-4200 MAIL ADDRESS: STREET 1: 701 PARK OF COMMERCE BOULEVARD STREET 2: SUITE 301 CITY: BOCA RATON STATE: FL ZIP: 33487 FORMER COMPANY: FORMER CONFORMED NAME: Imperial Holdings, LLC DATE OF NAME CHANGE: 20100617 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Bulldog Investors CENTRAL INDEX KEY: 0001462180 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: PARK 80 WEST PLAZA TWO STREET 2: SUITE 750 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST PLAZA TWO STREET 2: SUITE 750 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 SC 13D/A 1 d511087dsc13da.htm SCHEDULE 13D AMENDMENT NO. 9 Schedule 13D Amendment No. 9

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 9)*

 

 

Imperial Holdings, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

452834104

(CUSIP Number)

Phillip Goldstein, Brooklyn Capital Management, LLC

Park 80 West—Plaza Two

250 Pehle Ave., Suite 708

Saddle Brook, NJ 07663

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

7/09/2012

(Date of Event which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ¨

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

 

 

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

13D

 

CUSIP No. 452834104   Page 2 of 4 Pages

 

  1.   

Names of reporting persons

I.R.S. identification nos. of above persons (entities only)

 

Bulldog Investors, Brooklyn Capital Management, Phillip Goldstein and Andrew Dakos

  2.  

Check the appropriate box if a member of a group (see instructions)

(a)  x        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Source of funds (see instructions)

 

    WC

  5.  

Check box if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)    ¨

 

  6.  

Citizenship or place of organization

 

    USA

Number of

shares

beneficially

owned by

each

reporting

person

with

 

      7.    

Sole voting power

 

    2,428,493

     8.   

Shared voting power

 

    0

     9.   

Sole dispositive power

 

    2,428,493

   10.   

Shared dispositive power

 

    0

11.  

Aggregate amount beneficially owned by each reporting person

 

    2,428,493

12.  

Check box if the aggregate amount in Row (11) excludes certain shares (see instructions)    ¨

 

13.  

Percent of class represented by amount in Row (11)

 

    11.45%

14.  

Type of reporting person (see instructions)

 

    IA

 

13D

 

CUSIP No. 452834104    Page 3 of 4 Pages

 

Item 1. Security and Issuer.

This statement constitutes Amendment #9 to the schedule 13D filed March 8, 2012. Except as specifically set forth herein, the schedule 13D remains unchanged.

 

Item 2. Identity and Background.

 

Item 3. Source or Amount of Funds or Other Consideration.

 

Item 4. Purpose of Transaction.

 

Item 5. Interest in Securities of the Issuer.

As per the 10Q filed on November 14, 2011 there were 21,202,614 shares of common stock outstanding as of 08/31/2011. The ownership percentage set forth herein was derived using such number. Bulldog Investors, Brooklyn Capital Management, Phillip Goldstein and Andrew Dakos beneficially own an aggregate of 2,428,493 shares of IFT, or 11.45% of the outstanding shares.

There have been no transactions in shares of IFT by the reporting persons since those reported in Amendment #8 filed on 7/9/2012. This amendment corrects the number of shares held by the reporting persons that should have been reported in such Amendment #8.

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

 

Item 7. Material to Be Filed as Exhibits.

13D

 

CUSIP No. 452834104    Page 4 of 4 Pages

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

/s/    Phillip Goldstein        

Phillip Goldstein

/s/    Andrew Dakos        

Andrew Dakos

3/26/2013

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