0001140361-13-024482.txt : 20130607 0001140361-13-024482.hdr.sgml : 20130607 20130607073820 ACCESSION NUMBER: 0001140361-13-024482 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130606 FILED AS OF DATE: 20130607 DATE AS OF CHANGE: 20130607 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 13898908 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 4 1 doc1.xml FORM 4 X0306 4 2013-06-06 0 0001494448 Imperial Holdings, Inc. IFT 0001067621 GOLDSTEIN PHILLIP C/O IMPERIAL HOLDINGS, INC. 701 PARK OF COMMERCE BLVD., SUITE 301 BOCA RATON FL 33487 1 0 1 0 Common Stock 2013-06-06 4 A 0 2881 A 4721 D Common Stock 1253581 I See Footnote 2 Common Stock 1174912 I See Footnote 3 Restricted shares granted pursuant to Imperial's Omnibus Incentive Plan. The shares vest in full on the first anniversary of the date of grant. The shares are held by certain private investment funds. Brooklyn Capital Management ("BCM") has sole voting and investment power with respect to such shares. The reporting person is a principal of BCM and of the general partners of each such investment fund, and is a limited partner in certain of such funds. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. The shares are held by various entities and individuals. BCM has sole voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. /s/ Michael B. Kirwan, Attorney-in-Fact for Phillip Goldstein 2013-06-07