0001398344-15-004038.txt : 20150626
0001398344-15-004038.hdr.sgml : 20150626
20150626131010
ACCESSION NUMBER: 0001398344-15-004038
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150624
FILED AS OF DATE: 20150626
DATE AS OF CHANGE: 20150626
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: IMPERIAL HOLDINGS, 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: 20110211
FORMER COMPANY:
FORMER CONFORMED NAME: Imperial Holdings, LLC
DATE OF NAME CHANGE: 20100617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Samuels Steven
CENTRAL INDEX KEY: 0001561169
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35064
FILM NUMBER: 15954293
MAIL ADDRESS:
STREET 1: 72 COLEYTOWN ROAD
CITY: WESTPORT
STATE: CT
ZIP: 06882
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bulldog Investors, LLC
CENTRAL INDEX KEY: 0001504304
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35064
FILM NUMBER: 15954294
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
FORMER NAME:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
4
1
fp0014859_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-06-24
0
0001494448
IMPERIAL HOLDINGS, INC.
IFT
0001504304
Bulldog Investors, LLC
PARK 80 WEST - PLAZA TWO
250 PEHLE AVE., SUITE 708
SADDLE BROOK
NJ
07663
0
0
1
0
0001561169
Samuels Steven
PARK 80 WEST - PLAZA TWO
250 PEHLE AVE., SUITE 708
SADDLE BROOK
NJ
07663
0
0
1
0
Common Stock
2015-06-24
4
X
0
1305849
5.75
A
2991124
I
By Clients
Subscription Rights (Rights to Buy)
5.75
2015-06-24
4
X
0
1305849
0
D
2015-05-26
2015-06-15
Common Stock
1305849
0
I
By Clients
Shares were acquired pursuant to the exercise of the Reporting Persons' subscription rights and over-subscription rights in the Issuer's rights offering. Pursuant to such rights offering, each right entitled the holder to subscribe for one share of common stock at $5.75 per share. The number of shares acquired by the Reporting Persons pursuant to the exercise of rights became known on June 24, 2015.
The securities are held on behalf of certain private investment fund clients of Bulldog Investors, LLC. Bulldog Investors, LLC disclaims beneficial interest in such securities except to the extent of any pecuniary interest therein.
Steven Samuels is an owner of Bulldog Investors, LLC. He is also a Principal of the general partner of certain of such investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Mr. Samuels disclaims beneficial interest in securities held by such clients, except to the extent of any pecuniary interest therein
/s/ Phillip Goldstein on behalf of Bulldog Investors, LLC
2015-06-26
/s/ Steven Samuels
2015-06-26