0000932440-18-000111.txt : 20181217 0000932440-18-000111.hdr.sgml : 20181217 20181217160729 ACCESSION NUMBER: 0000932440-18-000111 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181211 FILED AS OF DATE: 20181217 DATE AS OF CHANGE: 20181217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Houk Matthew D CENTRAL INDEX KEY: 0001557772 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35064 FILM NUMBER: 181238217 MAIL ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 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 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2018-12-11 0 0001494448 EMERGENT CAPITAL, INC. EMGC 0001557772 Houk Matthew D C/O EMERGENT CAPITAL, INC. 5355 TOWN CENTER ROAD, SUITE 701 BOCA RATON FL 33486 1 0 0 0 Common Stock, par value $0.01 per share 37916 D Common Stock, par value $0.01 per share 32137 I By spouse Common Stock, par value $0.01 per share 207119 I By parents Common Stock, par value $0.01 per share 7978 I By brother Common Stock, par value $0.01 per share 7292 I By father-in-law and mother-in-law Common Stock, par value $0.01 per share 2500000 I See footnote Warrants (right to buy) .20 2023-07-28 Common Stock, par value $0.01 per share 600000 I See footnote The Reporting Person shares voting and dispositive control with the holder of such securities. Securities are held by Mimesis Capital Partners LLC. The Reporting Preson has shared voting and dispositive control over the securities. Warrants 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. /s/ Matthew D. Houk 2018-12-12