0001519418-15-000003.txt : 20150218 0001519418-15-000003.hdr.sgml : 20150216 20150217173009 ACCESSION NUMBER: 0001519418-15-000003 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150217 DATE AS OF CHANGE: 20150217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IMPERIAL HOLDINGS, INC. CENTRAL INDEX KEY: 0001494448 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 300663473 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-86093 FILM NUMBER: 15624606 BUSINESS ADDRESS: STREET 1: 5355 TOWN CENTER ROAD STREET 2: SUITE 701 CITY: BOCA RATON STATE: FL ZIP: 33486 BUSINESS PHONE: 561-995-4200 MAIL ADDRESS: STREET 1: 5355 TOWN CENTER ROAD STREET 2: SUITE 701 CITY: BOCA RATON STATE: FL ZIP: 33486 FORMER COMPANY: FORMER CONFORMED NAME: Imperial Holdings, Inc. DATE OF NAME CHANGE: 20110211 FORMER COMPANY: FORMER CONFORMED NAME: Imperial Holdings, LLC DATE OF NAME CHANGE: 20100617 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Horizon Kinetics LLC CENTRAL INDEX KEY: 0001519418 IRS NUMBER: 450642972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 646-495-7347 MAIL ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 SC 13G 1 sc13g-imperialholdings.txt SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* Imperial Holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 452834104 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP: 452834104 1 Names of Reporting Persons Horizon Kinetics LLC 2 Check the appropriate box if a member of a Group (see instructions) (a) [ ] (b) [ ] 3 Sec Use Only 4 Citizenship or Place of Organization Delaware Number of Shares Beneficially Owned by Each Reporting Person With: 5 Sole Voting Power: 1,370,897 6 Shared Voting Power: 0 7 Sole Dispositive Power: 1,370,897 8 Shared Dispositive Power: 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person: 1,370,897 10 Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)[ ] 11 Percent of class represented by amount in row (9): 6.4% 12 Type of Reporting Person (See Instructions): HC Item 1. (a) Name of Issuer: Imperial Holdings, Inc. (b) Address of Issuer's Principal Executive Offices: 5355 Town Center Road, Suite 701, Boca Raton, Florida 33486 Item 2. (a) Name of Person Filing: Horizon Kinetics LLC (b) Address of Principal Business Office or, if None, Residence: 470 Park Avenue South, 4th Floor South, NY, NY, 10016 (c) Citizenship: Delaware (d) Title and Class of Securities: Common Stock (e) CUSIP No.:452834104 Item 3. If this statement is filed pursuant to sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (e) [X] An investment adviser in accordance with Rule 13d- 1(b)(1)(ii)(E). Item 4. Ownership (a) Amount Beneficially Owned: 1,370,897 (b) Percent of Class: 6.4% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,370,897 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,370,897 (iv) Shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of more than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person. See Exhibit A Item 8. Identification and classification of members of the group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 17, 2015 Signature: Jay Kesslen Jay Kesslen General Counsel EXHIBIT A Pursuant to the instructions in Item 7 of Schedule 13G, the following table lists the identity and Item 3 classification, if applicable, of each relevant entity that beneficially owns shares of the security class being reported on this Schedule 13G. Subsidiary, Item 3 Classification: Horizon Asset Management LLC, IA Kinetics Asset Management LLC, IA Kinetics Advisers, LLC, IA *Entity beneficially owns 5% or greater of the outstanding shares of the security class being reported on this Schedule 13G. Joint Filing Agreement This joint filing agreement dated February 10, 2014 is by and among Horizon Kinetics LLC, Horizon Asset Management, LLC, Kinetics Asset Management, LLC and Kinetics Advisers, LLC ("the Filing Persons"). Each of the filing persons may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13G with respect to the common stock beneficially owned by them from time to time. Pursuant to and in accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the Filing Persons hereby agree to file a single statement on Schedule 13G and any amendments thereto on behalf of each such parties, and hereby further agree to file this Joint Filing Agreement as an exhibit to such statement, as required by such rule. This joint filing agreement may be terminated by any of filers upon one week's written notice or such lesser period of notice as the Filing Persons many mutually agree. Horizon Kinetics LLC, Horizon Asset Management,LLC, Kinetics Asset Management, LLC and Kinetics Advisers, LLC. By: Andrew M. Fishman, Associate General Counsel of each.