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