SEC Form 4 · accession 0001140361-15-043868
EMERGENT CAPITAL, INC. · EMGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Dakos
Director · 10% Owner
Period of report
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 11:39 am EST
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 | Dec 4, 2015 | J | 44,385 | $0.00 | D | 1,807,508 | I | See Footnote |
| Common Stock | holding | — | — | — | 31,212 | D | ||
| Common StockF3 | holding | — | — | — | 2,224,869 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- 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. The total number of these shares has been reduced by 20,000 from the last Form 4 since such shares were incorrectly attributed to Mr. Dakos or BI.
- F2The shares are being transferred to a client in connection with an account closing.
- 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.