0000932440-17-000064.txt : 20170926 0000932440-17-000064.hdr.sgml : 20170926 20170926210328 ACCESSION NUMBER: 0000932440-17-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170926 FILED AS OF DATE: 20170926 DATE AS OF CHANGE: 20170926 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CURRY PATRICK J CENTRAL INDEX KEY: 0001272138 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 171103043 MAIL ADDRESS: STREET 1: 5601 WEST WACO DRIVE CITY: WACO STATE: TX ZIP: 76710 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMERGENT CAPITAL, INC. CENTRAL INDEX KEY: 0001494448 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 300663473 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 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: 20141023 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-09-26 0001494448 EMERGENT CAPITAL, INC. EMGC 0001272138 CURRY PATRICK J 204 WOODHEW DRIVE WACO TX 76712 1 1 1 0 Interim CEO Common Stock, par value $0.01 per share 2017-09-26 4 P 0 37358 .45 A 14337358 I By PJC Investments, LLC Warrants (right to buy) .20 2023-07-28 Common Stock,par value $0.01 per share 13575000 13575000 I By PJC Investments, LLC Mr. Curry is the principal and manager of PJC Investments, LLC. Of such warrants, 8,750,000 vested on July 28, 2017 and 4,825,000 will vest in connection with the conversion of the issuer's senior unsecured convertible notes outstanding as of July 28, 2017 (the "Outstanding Convertible Notes") into shares of the issuer's common stock on a 1 to 1 basis, or earlier upon the earliest date on which (x) at least 50% of the aggregate principal amount of the Outstanding Convertible Notes are converted into shares of the issuer's common stock, or (y) all of the Outstanding Convertible Notes are no longer outstanding. Because Patrick J. Curry, a director of the issuer, controls PJC Investments, LLC, PJC Investments, LLC may be deemed to be a director by deputization. /s/ Patrick J. Curry, individually and as manager of PJC Investments, LLC 2017-09-26