SEC Form 3 · accession 0000932440-18-000111

EMERGENT CAPITAL, INC. · EMGC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 11, 2018

Accepted (ET)

Dec 17, 2018 · 4:07 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001494448

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01 per share	holding	—	—	—	37,916	D
Common Stock, par value $0.01 per share^F1	holding	—	—	—	32,137	I	By spouse
Common Stock, par value $0.01 per share^F1	holding	—	—	—	207,119	I	By parents
Common Stock, par value $0.01 per share^F1	holding	—	—	—	7,978	I	By brother
Common Stock, par value $0.01 per share^F1	holding	—	—	—	7,292	I	By father-in-law and mother-in-law
Common Stock, par value $0.01 per share^F2	holding	—	—	—	2,500,000	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants (right to buy)^F2,F3	$0.20	holding	—	—	—	—	Jul 28, 2023	Common Stock, par value $0.01 per share	600,000	—	I

F1The Reporting Person shares voting and dispositive control with the holder of such securities.
F2Securities are held by Mimesis Capital Partners LLC. The Reporting Preson has shared voting and dispositive control over the securities.
F3Warrants will vest in connection with the conversion of the issuer's 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, or earlier 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.