0000897069-16-000924.txt : 20160606 0000897069-16-000924.hdr.sgml : 20160606 20160606160646 ACCESSION NUMBER: 0000897069-16-000924 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160602 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20160606 DATE AS OF CHANGE: 20160606 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 161698632 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 8-K 1 cg769.htm

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549 
 
 
 
 
FORM 8-K
 
 
 
 
CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported):   June 2, 2016
 
 
 
 
EMERGENT CAPITAL, INC.
(Exact name of registrant as specified in its charter)
 
 
 
 
 
 
 
 
 
Florida
 
001-35064
 
30-0663473
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
   
 
5355 Town Center Road, Suite 701
Boca Raton, Florida
  
 
33486
(Zip Code)
   
(Address of principal executive offices)
  
 
Registrant’s telephone number including area code: (561) 995-4200
 
 
(Former name or former address, if changed since last report)
 


 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 
 

 

 
Item 5.07                          Submission of Matters to a Vote of Security Holders
 
On June 2, 2016, Emergent Capital, Inc. (the “Company”) held its Annual Meeting of Shareholders. The results of matters submitted to a vote were as follows:
 
 
Proposal One – Election of Directors:
 
The shareholders elected each of the director nominees set forth below for a one-year term expiring at the next Annual Meeting of Shareholders. The shareholders voted as follows:

Nominee
Votes For
Votes Withheld
Broker Non-Votes
James Chadwick
16,655,476
2,327,714
5,471,268
Michael Crow
16,489,239
2,493,951
5,471,268
Andrew Dakos
16,446,319
2,536,871
5,471,268
Phillip Goldstein
16,517,107
2,466,083
5,471,268
Gerald Hellerman
15,504,548
3,478,642
5,471,268
Antony Mitchell
16,632,897
2,350,293
5,471,268
Gilbert Nathan
16,657,802
2,325,388
5,471,268


Proposal Two - Advisory Vote on Executive Compensation.

The shareholders approved, on an advisory basis, the compensation of the Company’s named executive officers for the fiscal year ended December 31, 2015. The shareholders voted as follows:

For
Against
Abstain
Broker Non-Votes
15,741,391
1,219,724
2,022,075
5,471,268


Proposal Three – Ratification of Appointment of Independent Registered Public Accountant.

The selection of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016 was ratified by shareholders. The shareholders voted as follows:

For
Against
Abstain
23,596,392
813,062
45,004

 
 
SIGNATURES
 

 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


June 6, 2016

 
EMERGENT CAPITAL, INC.
 
(Registrant)
       
 
By:
  
/s/ Christopher O’Reilly
     
Christopher O’Reilly
     
General Counsel and Secretary