SEC Form 4 · accession 0001140361-15-025495
EMERGENT CAPITAL, INC. · EMGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Chadwick
Director
Period of report
Jun 24, 2015
Accepted (ET)
Jun 26, 2015 · 11:03 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 Stock | Jun 24, 2015 | M | 575 | $5.75 | A | 20,283 | D | |
| Common StockF1 | Jun 24, 2015 | X | 33,750 | $5.75 | A | 168,750 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (Rights to Buy) | $5.75 | Jun 24, 2015 | M | 575 | D | May 26, 2015 | Jun 15, 2015 | Common Stock | 575 | 0 | D |
| Subscription Rights (Rights to Buy)F1 | $5.75 | Jun 24, 2015 | X | 33,750 | D | May 26, 2015 | Jun 15, 2015 | Common Stock | 33,750 | 0 | I |
Explanation of responses
- F1The Reporting Person is a principal of Ancora Catalyst Fund LP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.