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