0001144204-17-040594.txt : 20170804
0001144204-17-040594.hdr.sgml : 20170804
20170804162418
ACCESSION NUMBER: 0001144204-17-040594
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170728
FILED AS OF DATE: 20170804
DATE AS OF CHANGE: 20170804
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Evermore Global Value Fund
CENTRAL INDEX KEY: 0001713880
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35064
FILM NUMBER: 171008928
BUSINESS ADDRESS:
STREET 1: 89 SUMMIT AVENUE
CITY: SUMMIT
STATE: NJ
ZIP: 07901
BUSINESS PHONE: 9083782882
MAIL ADDRESS:
STREET 1: 89 SUMMIT AVENUE
CITY: SUMMIT
STATE: NJ
ZIP: 07901
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
3
1
v472328_3.xml
OWNERSHIP DOCUMENT
X0206
3
2017-07-28
0
0001494448
EMERGENT CAPITAL, INC.
EMGC
0001713880
Evermore Global Value Fund
89 SUMMIT AVENUE
SUMMIT
NJ
07901
0
0
1
0
Common Stock
16710000
D
Warrants (rights to buy) to purchase Common Stock
0.2
2025-07-28
Common Stock
4344786
D
The Warrants will vest at later times tied to the conversion of the Issuer's outstanding senior unsecured convertible notes outstanding as of July 28, 2017 (the "Outstanding Convertible Notes") into shares of the Issuer's common stock on a 1 to 1 basis; provided that upon the earliest date on which (x) at least 50% of the aggregate principal amount of the Outstanding Convertible Notes are converted into shares of the Issuer's common stock, or (y) all of the Outstanding Convertible Notes are no longer outstanding, then all remaining shares of the Issuer's common stock under the Warrants will vest and become immediately exercisable.
Subject to adjustment in accordance with Article 3 of the Warrants.
The Reporting Person, Evermore Global Value Fund ("EGVF"), is a series of Evermore Funds Trust, a Massachusetts Business Trust and an investment company registered with the SEC under the Investment Company Act of 1940. Evermore Global Advisors, LLC, as investment advisor to EGVF, has sole voting and dispositive power with respect to these securities, but disclaims beneficial ownership of such securities.
Evermore Global Value Fund, a series of Evermore Funds Trust, By: /s/ Eric LeGoff, CEO
2017-08-04