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