X0306 4 2014-02-21 0 0001494448 Imperial Holdings, Inc. IFT 0001067621 GOLDSTEIN PHILLIP C/O IMPERIAL HOLDINGS, INC. 701 PARK OF COMMERCE BLVD., SUITE 301 BOCA RATON FL 33487 1 0 1 0 Senior Convertible Notes 6.76 2014-02-21 4 P 0 6302 1000 A 2014-02-21 2019-02-15 Common Stock 932249 6302 I See Footnote Unless and until the Issuer obtains shareholder approval of the issuance of shares of common stock upon conversion of the notes, the notes are subject to conversion limitations. Per Note. The notes are held by certain private investment funds. Bulldog Investors, LLC (f/k/a Brooklyn Capital Management, LLC) ("BI") has voting and investment power with respect to such notes. The reporting person is a principal of BI and of the general partners of certain such investment funds, and is a limited partner in certain of such funds. The reporting person disclaims beneficial ownership of these notes except to the extent of his pecuniary interest therein. These totals do not include 2,941 notes that are owned by BI's Special Opportunities Fund since the reporting person has no pecuniary interest therein. /s/ Michael B. Kirwan, Attorney-in-Fact for Phillip Goldstein 2014-02-24