0001140361-16-068570.txt : 20160603 0001140361-16-068570.hdr.sgml : 20160603 20160603170024 ACCESSION NUMBER: 0001140361-16-068570 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160602 FILED AS OF DATE: 20160603 DATE AS OF CHANGE: 20160603 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 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: 161696485 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 2016-06-02 0 0001494448 EMERGENT CAPITAL, INC. EMG 0001341021 Dakos Andrew C/O EMERGENT CAPITAL, INC. 5355 TOWN CENTER ROAD, SUITE 701 BOCA RATON FL 33486 1 0 1 0 Common Stock 2016-06-02 4 A 0 11508 A 42720 D Common Stock 1807508 I See Footnote Common Stock 2224869 I See Footnote Represents directors' fees paid in stock pursuant to Emergent's Omnibus Incentive Plan. 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 total number of these shares has been reduced by 20,000 from the last Form 4 since such shares were incorrectly attributed to Mr. Dakos or BI. 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 2016-06-03