SEC Form 4 · accession 0001140361-16-068553
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 2, 2016
Accepted (ET)
Jun 3, 2016 · 4:55 pm 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 | Jun 2, 2016 | A | 11,508 | — | A | 31,791 | D | |
| Common StockF2 | holding | — | — | — | 278,669 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents directors' fees paid in stock pursuant to Emergent's Omnibus Incentive Plan.
- F2The 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.