0001140361-15-025496.txt : 20150626 0001140361-15-025496.hdr.sgml : 20150626 20150626110436 ACCESSION NUMBER: 0001140361-15-025496 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150624 FILED AS OF DATE: 20150626 DATE AS OF CHANGE: 20150626 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMPERIAL HOLDINGS, 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: 20110211 FORMER COMPANY: FORMER CONFORMED NAME: Imperial Holdings, LLC DATE OF NAME CHANGE: 20100617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dakos Andrew CENTRAL INDEX KEY: 0001341021 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 15953859 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE. STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 4 1 doc1.xml FORM 4 X0306 4 2015-06-24 0 0001494448 IMPERIAL HOLDINGS, INC. IFT 0001341021 Dakos Andrew C/O IMPERIAL HOLDINGS, INC. 5355 TOWN CENTER ROAD, SUITE 701 BOCA RATON FL 33486 1 0 1 0 Common Stock 2015-06-24 4 M 0 11964 5.75 A 31212 D Common Stock 2015-06-24 4 X 0 808577 5.75 A 1871893 I See Footnote Common Stock 2015-06-24 4 X 0 971288 5.75 A 2224869 I See Footnote Subscription Rights (Rights to Buy) 5.75 2015-06-24 4 M 0 11964 0 D 2015-05-26 2015-06-15 Common Stock 11964 0 D Subscription Rights (Rights to Buy) 5.75 2015-06-24 4 X 0 808577 0 D 2015-05-26 2015-06-15 Common Stock 808577 0 I See Footnote Subscription Rights (Rights to Buy) 5.75 2015-06-24 4 X 0 971288 0 D 2015-05-26 2015-06-15 Common Stock 971288 0 I See Footnote The shares are held by various entities and individuals. Bulldog Investors, LLC ("BI") or certain of its principals has 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. The shares are held by certain private investment funds. BI has sole voting and investment power with respect to such shares. The Reporting Person is a principal of BI 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. /s/ Michael B. Kirwan, Attorney-in-Fact for Andrew Dakos 2015-06-26