-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DfzSxYFM1YibERa2nb2PYlxOP+WsbvBew93rtpQLB0tRHFsCuQtQYZmBQwXtgDZS cdSDw8WvG7YODfHjIGkOzA== 0001140361-11-007470.txt : 20110209 0001140361-11-007470.hdr.sgml : 20110209 20110209145432 ACCESSION NUMBER: 0001140361-11-007470 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110207 FILED AS OF DATE: 20110209 DATE AS OF CHANGE: 20110209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Neuman Jonathan CENTRAL INDEX KEY: 0001494451 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 11586687 MAIL ADDRESS: STREET 1: 701 PARK OF COMMERCE BOULEVARD STREET 2: SUITE 301 CITY: BOCA RATON STATE: FL ZIP: 33487 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Imperial Holdings, LLC CENTRAL INDEX KEY: 0001494448 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 770666377 BUSINESS ADDRESS: STREET 1: 701 PARK OF COMMERCE BOULEVARD STREET 2: SUITE 301 CITY: BOCA RATON STATE: FL ZIP: 33487 BUSINESS PHONE: 561-995-4200 MAIL ADDRESS: STREET 1: 701 PARK OF COMMERCE BOULEVARD STREET 2: SUITE 301 CITY: BOCA RATON STATE: FL ZIP: 33487 4 1 doc1.xml FORM 4 X0303 4 2011-02-07 0 0001494448 Imperial Holdings, LLC IFT 0001494451 Neuman Jonathan 701 PARK OF COMMERCE BOULEVARD SUITE 301 BOCA RATON FL 33487 1 1 0 0 President and COO Common Stock 2011-02-07 4 A 0 70000 10.75 A 433636 D Stock Option (Right to Buy) 10.75 2011-02-07 4 A 0 120000 0 A 2018-02-07 Common Stock 120000 120000 D Warrant (Right to Buy) 12.90 2011-02-08 4 A 0 450371 0 A 2018-02-08 Common Stock 450371 450371 D Warrant (Right to Buy) 14.5125 2011-02-08 4 A 0 450370 0 A 2018-02-08 Common Stock 450370 450370 D Warrant (Right to Buy) 16.125 2011-02-08 4 A 0 450370 0 A 2018-02-08 Common Stock 450370 450370 D The options vest pro rata over a three-year period beginning on the first anniversary of the date of grant. The warrants vest pro rata over a four-year period. /s/ Michael B. Kirwan, Attorney-in-Fact for Jonathan Neuman 2011-02-09 -----END PRIVACY-ENHANCED MESSAGE-----