SEC Form 4 · accession 0001140361-15-044164
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
Dec 8, 2015
Accepted (ET)
Dec 10, 2015 · 4:45 pm 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 Stock | Dec 8, 2015 | J | 60,856 | $0.00 | D | 193,468 | D | |
| Common StockF1 | Dec 8, 2015 | J | 60,856 | $0.00 | A | 2,060,316 | I | See Footnote |
| Common StockF2 | 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 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.
- 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 of such investment fund, and is a limited partner in certain such funds. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F3Shares previously held in accounts held jointly by the Reporting Person with certain family members have been transferred to such family members. The Reporting Person has retained voting and investment power with respect to such shares.