SEC Form 4 · accession 0001140361-15-025496

EMERGENT CAPITAL, INC. · EMGC

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

Reporting owner

Director · 10% Owner

Period of report

Jun 24, 2015

Accepted (ET)

Jun 26, 2015 · 11:04 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	11,964	$5.75	A	31,212	D
Common Stock^F1	Jun 24, 2015	X	808,577	$5.75	A	1,871,893	I	See Footnote
Common Stock^F2	Jun 24, 2015	X	971,288	$5.75	A	2,224,869	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Subscription Rights (Rights to Buy)	$5.75	Jun 24, 2015	M	11,964	D	May 26, 2015	Jun 15, 2015	Common Stock	11,964	D
Subscription Rights (Rights to Buy)^F1	$5.75	Jun 24, 2015	X	808,577	D	May 26, 2015	Jun 15, 2015	Common Stock	808,577	I
Subscription Rights (Rights to Buy)^F2	$5.75	Jun 24, 2015	X	971,288	D	May 26, 2015	Jun 15, 2015	Common Stock	971,288	I

F1The shares are held by various entities and individuals. Bulldog Investors, LLC ("BI") or certain of its principals 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.
F2The 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.