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