Houk Matthew D 4

4 · EMERGENT CAPITAL, INC. · Filed Oct 2, 2019

Form 4

Period: 2019-09-30

Director

Transactions

Other
Common Stock, par value $0.01 per share
2019-09-30−2,500,000→ 0 total(indirect: See footnote)
Other
Warrants (right to buy)
2019-09-30−600,000→ 0 total(indirect: See footnote)
Exercise: $0.20Exp: 2023-07-28→ Common Stock, par value $0.01 per share (600,000 underlying)

Holdings

Common Stock, par value $0.01 per share
(indirect: By Spouse)
32,137
Common Stock, par value $0.01 per share
37,916
Common Stock, par value $0.01 per share
(indirect: By brother)
7,978
Common Stock, par value $0.01 per share
(indirect: By parents)
207,119
Common Stock, par value $0.01 per share
(indirect: By father-in-law and mother-in-law)
7,292

Footnotes (3)

[F1]The Reporting Person shares voting and dispositive control with the holder of such securities.
[F2]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.
[F3]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.

Documents

1 file