4//SEC Filing
Houk Matthew D 4
Accession 0000932440-19-000057
CIK 0001494448other
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 4:43 PM ET
Size
11.6 KB
Accession
0000932440-19-000057
Insider Transaction Report
Form 4
Houk Matthew D
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
- 32,137(indirect: By Spouse)
Common Stock, par value $0.01 per share
- 37,916
Common Stock, par value $0.01 per share
- 7,978(indirect: By brother)
Common Stock, par value $0.01 per share
- 207,119(indirect: By parents)
Common Stock, par value $0.01 per share
- 7,292(indirect: By father-in-law and mother-in-law)
Common Stock, par value $0.01 per share
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
Issuer
EMERGENT CAPITAL, INC.
CIK 0001494448
Entity typeother
Related Parties
1- filerCIK 0001557772
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 4:43 PM ET
- Size
- 11.6 KB