0000932440-19-000057.txt : 20191002
0000932440-19-000057.hdr.sgml : 20191002
20191002164306
ACCESSION NUMBER: 0000932440-19-000057
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191002
DATE AS OF CHANGE: 20191002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Houk Matthew D
CENTRAL INDEX KEY: 0001557772
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35064
FILM NUMBER: 191132823
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: 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
edgar.xml
PRIMARY DOCUMENT
X0306
4
2019-09-30
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
2019-09-30
4
J
0
2500000
D
0
I
See footnote
Warrants (right to buy)
.20
2019-09-30
4
J
0
600000
D
2023-07-28
Common Stock, par value $0.01 per share
600000
0
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. As of September 30, 2019, the Reporting Preson no longer has any voting or 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
2019-10-02