EMERGENT CAPITAL, INC.
|
(Name of Issuer)
|
Common Stock, $0.01 par value
|
(Title of Class of Securities)
|
29102N105
|
(CUSIP Number)
|
January 29, 2016
|
(Date of Event Which Requires Filing of this Statement)
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
|||
Robert C. Knapp
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0 (See Item 4)
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☒(See Item 4)
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0% (See Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
|||
Ironsides Partners LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0 (See Item 4)
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☒(See Item 4)
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0% (See Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
|||
Ironsides P Fund L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0 (See Item 4)
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☒(See Item 4)
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0% (See Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
|||
Ironsides Partners Special Situations Master Fund II L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Cayman Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0 (See Item 4)
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0 (See Item 4)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☒(See Item 4)
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0% (See Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
Item 1(a). | Name of Issuer: |
Item 1(b). | Address of Issuer's Principal Executive Offices: |
Item 2(a). | Name of Person Filing: |
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
Item 2(c). | Citizenship: |
Item 2(d). | Title of Class of Securities: |
Item 2(e). | CUSIP Number: |
Item 3. | If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or |
(a) | ☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); |
(b) | ☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); |
(c) | ☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); |
(d) | ☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
(e) | ☒ Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E) (as to Ironsides); |
(f) | ☐ Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); |
(g) | ☒Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G) (as to Robert C. Knapp); |
(h) | ☐ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | ☐ Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(j) | ☐ A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J); |
(k) | ☐ Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ . |
Item 4. | Ownership. |
(a) | Amount beneficially owned: |
(b) | Percent of class: |
(c) | Number of shares as to which the person has: |
Robert C. Knapp
|
||
(i)
|
Sole power to vote or direct the vote:
|
0
|
(ii)
|
Shared power to vote or to direct the vote
|
0
|
(iii)
|
Sole power to dispose or to direct the disposition of
|
0
|
(iv)
|
Shared power to dispose or to direct the disposition of
|
0
|
Ironsides
|
||
(i)
|
Sole power to vote or direct the vote
|
0
|
(ii)
|
Shared power to vote or to direct the vote
|
0
|
(iii)
|
Sole power to dispose or to direct the disposition of
|
0
|
(iv)
|
Shared power to dispose or to direct the disposition of
|
0
|
P Fund
|
||
(i)
|
Sole power to vote or direct the vote
|
0
|
(ii)
|
Shared power to vote or to direct the vote
|
0
|
(iii)
|
Sole power to dispose or to direct the disposition of
|
0
|
(iv)
|
Shared power to dispose or to direct the disposition of
|
0
|
Master Fund
|
||
(i)
|
Sole power to vote or direct the vote
|
0
|
(ii)
|
Shared power to vote or to direct the vote
|
0
|
(iii)
|
Sole power to dispose or to direct the disposition of
|
0
|
(iv)
|
Shared power to dispose or to direct the disposition of
|
0
|
Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More Than Five Percent on Behalf of Another Person. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10.
|
Certification.
|
IRONSIDES PARTNERS LLC
|
||
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
||
Title: President
|
Robert C. Knapp
|
||
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
IRONSIDES P FUND L.P. | ||
By: | Ironsides P Fund GP LLC, its General Partner | |
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
||
Title: Manager
|
IRONSIDES PARTNERS SPECIAL SITUATIONS MASTER FUND II L.P.
|
||
By: | Ironsides Partners Special Situations Fund GP LLC, its General Partner | |
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
||
Title: Manager
|
IRONSIDES PARTNERS LLC
|
||
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
||
Title: President
|
Robert C. Knapp
|
||
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
IRONSIDES P FUND L.P. | ||
By: | Ironsides P Fund GP LLC, its General Partner | |
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
||
Title: Manager
|
IRONSIDES PARTNERS SPECIAL SITUATIONS MASTER FUND II L.P.
|
||
By: | Ironsides Partners Special Situations Fund GP LLC, its General Partner | |
By:
|
/s/ Robert C. Knapp
|
|
Name: Robert C. Knapp
|
||
Title: Manager
|