X0306 5 2014-12-31 0 0 1 0001494448 IMPERIAL HOLDINGS, INC. IFT 0001067621 GOLDSTEIN PHILLIP C/O IMPERIAL HOLDINGS, INC. 5355 TOWN CENTER ROAD, SUITE 701 BOCA RATON FL 33486 1 0 1 0 Common Stock 2014-03-31 4 P 0 L 13000 5.75 A 130426 D Common Stock 2014-08-08 4 P 0 L 4241 6.48 A 130426 D Common Stock 2014-03-31 4 P 0 L 5000 5.75 A 1121792 I See Footnote Common Stock 2014-08-11 4 P 0 L 200 6.46 A 1121792 I See Footnote Common Stock 2014-09-19 4 P 0 L 300 6.36 A 1121792 I See Footnote Common Stock 1253581 I See Footnote Senior Convertible Notes 6.76 2014-02-21 2019-02-15 Common Stock 932249 6302 I See Footnotes The Reporting Person's Form 4 filed on April 1, 2014 incorrectly reported that on March 31, 2014, 18,000 shares had been purchased for accounts in which the Reporting Person has a Direct ownership interest. The correct amount of shares purchased for such accounts on such date is 13,000. The remaining 5,000 reported shares were purchased for accounts in which the Reporting Person has an Indirect ownership interest. The first line item herein reflects the correct number of shares (13,000) that should have been reported as having been purchased by accounts in which the Reporting Person has a Direct interest. The third line item herein reflects the number of shares (5,000) that should have been reported as having been purchased by accounts in which the Reporting Person has an Indirect interest. The Reporting Person's Form 4 filed on August 11, 2014 incorrectly reported that on August 8, 2014, 5,759 shares had been purchased. The correct number of shares purchased on such date is 10,000 shares. This line item reflects the number of shares (4,241) not previously reported. The 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. The 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 such investment fund, and is a limited partner in certain of such funds. The reporting person disclaims beneficial ownership of these shares 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 2015-02-17