0001062993-21-001966.txt : 20210224
0001062993-21-001966.hdr.sgml : 20210224
20210224194630
ACCESSION NUMBER: 0001062993-21-001966
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210222
FILED AS OF DATE: 20210224
DATE AS OF CHANGE: 20210224
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: 21675796
MAIL ADDRESS:
STREET 1: 5601 WEST WACO DRIVE
CITY: WACO
STATE: TX
ZIP: 76710
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: 21675795
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
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
2021-02-22
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
2021-02-22
4
F
0
162299
.2485
D
738868
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 accelerated vesting of 666,667 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
2021-02-24