0000899681-17-000273.txt : 20170821
0000899681-17-000273.hdr.sgml : 20170821
20170821184513
ACCESSION NUMBER: 0000899681-17-000273
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170817
FILED AS OF DATE: 20170821
DATE AS OF CHANGE: 20170821
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KNAPP ROBERT C
CENTRAL INDEX KEY: 0001223003
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35064
FILM NUMBER: 171043913
MAIL ADDRESS:
STREET 1: C/O IRONSIDES PARTNERS LLC
STREET 2: 100 SUMMER STREET, SUITE 2705
CITY: BOSTON
STATE: MA
ZIP: 02110
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: EMERGENT CAPITAL, INC.
CENTRAL INDEX KEY: 0001494448
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 300663473
STATE OF INCORPORATION: FL
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5355 TOWN CENTER ROAD
STREET 2: SUITE 701
CITY: BOCA RATON
STATE: FL
ZIP: 33486
BUSINESS PHONE: 561-995-4200
MAIL ADDRESS:
STREET 1: 5355 TOWN CENTER ROAD
STREET 2: SUITE 701
CITY: BOCA RATON
STATE: FL
ZIP: 33486
FORMER COMPANY:
FORMER CONFORMED NAME: IMPERIAL HOLDINGS, INC.
DATE OF NAME CHANGE: 20141023
FORMER COMPANY:
FORMER CONFORMED NAME: Imperial Holdings, Inc.
DATE OF NAME CHANGE: 20110211
FORMER COMPANY:
FORMER CONFORMED NAME: Imperial Holdings, LLC
DATE OF NAME CHANGE: 20100617
4
1
p17-0167_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-08-17
0
0001494448
EMERGENT CAPITAL, INC.
EMGC
0001223003
KNAPP ROBERT C
C/O IRONSIDES PARTNERS LLC
100 SUMMER STREET
BOSTON
MA
02210
1
0
0
0
5.00% Senior Unsecured Convertible Notes due 2023
2.00
2017-08-17
4
P
0
3000000
1957500
A
2017-07-28
2023-02-13
Common Stock
1500000
12223642
I
See footnote
5.00% Senior Unsecured Convertible Notes due 2023
2.00
2017-08-17
4
P
0
2000000
1350000
A
2017-07-28
2023-02-13
Common Stock
1000000
13223642
I
See footnote
$2.00 (500 shares of common stock per $1,000 principal amount of 5% Convertible Notes (as defined below), subject to adjustment in accordance with Article 4 of the indenture governing the 5.00% Senior Unsecured Convertible Notes due 2023 (the "5% Convertible Notes").
500 shares of common stock per $1,000 principal amount of 5% Convertible Notes, subject to adjustment in accordance with Article 4 of the indenture governing the 5% Convertible Notes.
The 5% Convertible Notes are held by a private fund. The notes are held by a private fund. The Reporting Person is the sole manager of the general partner of the private fund, the sole owner and sole managing member of the sole member of the general partner and the sole owner of the managing member of the investment adviser of the private fund. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. The 5% Convertible Notes are subject to a conversion limitation imposed by Florida State law that voids any conversion of such 5% Convertible Notes into shares of common stock to the extent that the holder would, after such exercise, directly or indirectly own 10% or more of the shares of common stock unless such holder has first applied for and obtained regulatory approval from the Florida Office of Insurance Regulation.
/s/ Robert Knapp
2017-08-21