0001062993-21-000711.txt : 20210129 0001062993-21-000711.hdr.sgml : 20210129 20210129175137 ACCESSION NUMBER: 0001062993-21-000711 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210127 FILED AS OF DATE: 20210129 DATE AS OF CHANGE: 20210129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PJC INVESTMENTS, LLC CENTRAL INDEX KEY: 0001712302 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 21573217 BUSINESS ADDRESS: STREET 1: 204 WOODHEW DRIVE CITY: WACO STATE: TX ZIP: 76712 BUSINESS PHONE: 512-639-5090 MAIL ADDRESS: STREET 1: 204 WOODHEW DRIVE CITY: WACO STATE: TX ZIP: 76712 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: 21573218 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: 1130 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2021-01-27 0001494448 EMERGENT CAPITAL, INC. EMGC 0001272138 CURRY PATRICK J 204 WOODHEW DRIVE WACO TX 76712 1 1 1 0 CEO 0001712302 PJC INVESTMENTS, LLC 204 WOODHEW DRIVE WACO TX 76712 1 0 1 0 Common Stock, par value $0.01 per share 2021-01-27 4 F 0 98833 .25 D 901167 D Common Stock, par value $0.01 per share 14442716 I By PJC Investments, LLC Common Stock, par value $0.01 per share 552431 I By spouse. 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 long outstanding. Consists of shares surrendered for payment of tax obligation upon vesting of 333,333 shares of restricted stock. 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 2021-01-29