SEC Form 4 · accession 0001140361-15-022277
EMERGENT CAPITAL, INC. · EMGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Goldstein
Director · 10% Owner
Period of report
May 28, 2015
Accepted (ET)
May 29, 2015 · 11:17 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001494448
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 28, 2015 | A | 7,281 | — | A | 137,707 | D | |
| Common StockF2 | holding | — | — | — | 1,121,792 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 1,253,581 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted shares granted pursuant to Imperial's Omnibus Incentive Plan. The shares vest in full on the first anniversary of the date of grant.
- F2The shares are held by various entities and individuals. Bulldog Investors, LLC ("BI") or the Reporting Person has voting and investment power with respect to such shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F3The shares are held by certain private investment funds. BI has sole voting and investment power with respect to such shares. The Reporting Person is a principal of BI and of the general partners of each such investment fund, and is a limited partner in certain of such funds. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.