SEC Form 5 · accession 0001398344-15-000935
EMERGENT CAPITAL, INC. · EMGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 9:33 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,F2 | holding | — | — | — | 1,685,275 | I | By Clients |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Senior Convertible NotesF3,F1,F2 | $6.76 | Feb 21, 2014 | P | 6,302 | A | Feb 21, 2014 | Feb 15, 2019 | Common Stock | 932,249 | 6,302 | I |
Explanation of responses
- F1The securities are held on behalf of certain private investment fund clients of Bulldog Investors, LLC. Bulldog Investors, LLC disclaims beneficial interest in such securities except to the extent of any pecuniary interest therein.
- F2Steven Samuels is an owner of Bulldog Investors, LLC. He is also a Principal of the general partner of certain of such investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Mr. Samuels disclaims beneficial interest in securities held by such clients, except to the extent of any pecuniary interest therein.
- F3Per Note.