X0306 4 2017-10-31 0 0001494448 EMERGENT CAPITAL, INC. EMGC 0001494452 Mitchell Antony 6615 W. BOYNTON BEACH BLVD., #394 BOYNTON BEACH FL 33437 0 0 0 1 Former CEO and Director Common Stock 2017-10-31 4 S 0 5000000 0.20 D 0 I By Tin-Rez Corp. Common Stock 814334 D Warrant (right to buy) 12.90 2018-02-08 Common Stock 450371 450371 D Warrant (right to buy) 14.5125 2018-02-08 Common Stock 450370 450370 D Warrant (right to buy) 16.125 2018-02-08 Common Stock 450370 450370 D Warrant (right to buy) 12.90 2018-02-15 Common Stock 20799 20799 D Warrant (right to buy) 14.5125 2018-02-15 Common Stock 20799 20799 D Warrant (right to buy) 16.125 2018-02-15 Common Stock 20798 20798 D Stock Option (right to buy) 10.75 2018-02-07 Common Stock 120000 120000 D Stock Option (right to buy) 6.94 2020-06-06 Common Stock 120000 120000 D The reporting person may be deemed to be a beneficial owner of these shares and disclaims beneficial ownership of these shares except to the extent of any indirect pecuniary interest therein. The warrants vest pro rata over a four year period. The options vest pro rata over a three-year period beginning on the first anniversary of the date of grant. The option is vested as to one third of the shares on the date of grant. The remaining shares vest in two equal installments on June 6, 2014 and June 6, 2015. /s/ Antony Mitchell 2017-10-31