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