0001494448-17-000072.txt : 20170627 0001494448-17-000072.hdr.sgml : 20170627 20170627141127 ACCESSION NUMBER: 0001494448-17-000072 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170627 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20170627 DATE AS OF CHANGE: 20170627 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: 17931974 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 agm8-k.htm 8-K Document


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 27, 2017
 
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
 
 
(Address of principal executive offices)
 
(Zip Code)
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))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
¨ Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨







Item 5.07    Submission of Matters to a Vote of Security Holders
On June 27, 2017, 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
13,485,984
3,372,607
—
Michael Crow
13,486,621
3,371,970
—
Andrew Dakos
12,121,047
4,737,544
—
Phillip Goldstein
11,755,265
5,103,326
—
Gerald Hellerman
12,950,654
3,907,937
—
Antony Mitchell
13,498,234
3,360,357
—
Gilbert Nathan
14,985,081
1,873,510
—


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, 2016. The shareholders voted as follows:

For
Against
Abstain
Broker Non-Votes
12,568,545
3,796,039
494,007
—


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, 2017 was ratified by shareholders. The shareholders voted as follows:

For
Against
Abstain
15,635,206
749,675
473,710


Proposal Four - Vote on Amendment to the Company’s Articles of Incorporation.

The shareholders approved an amendment to the Company’s Articles of Incorporation to increase the number of authorized shares of the Company’s common stock. The shareholders voted as follows:

For
Against
Abstain
13,761,886
2,383,144
713,561






Proposal Five - Vote to approve an amendment to the Company’s Amended and Restated 2010 Omnibus Incentive Plan.

The shareholders approved an amendment to the Company’s Amended and Restated 2010 Omnibus Incentive Plan (the “Plan”), including an increase to the total number of shares authorized under the Plan. The shareholders voted as follows:

For
Against
Abstain
12,265,980
4,528,925
63,686

    





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 27, 2017
 
 
EMERGENT CAPITAL, INC.
(Registrant)
 
 
By:
/s/ Christopher O'Reilly
 
Christopher O'Reilly
 
General Counsel and Secretary