基本统计
| LEI | 213800YLKM9YB4HQIQ80 |
| CIK | 1494448 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to
SEC Filings (Chronological Order)
本页提供了美国证券交易委员会（SEC）备案的完整、按时间顺序排列的列表，不包括我们在其他地方提供的所有权备案。
| April 28, 2021 |
SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Mark A. Ellis, Esq. Kutak Rock LLP 1650 Farnam Street Omaha, NE 68102 (402) 346-6000 (Name, Address and Teleph |
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| April 19, 2021 |
SC 13D/A 1 eps9589.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3)* Emergent Capital, Inc. (Name of Issuer) Common Stock, Par Value $0.01 per Share (Title of Class of Securities) 29102N105 (CUSIP |
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| April 9, 2021 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0167 Expires: May 31, 2021 Estimated average burden hours per response 1.50 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF |
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| April 9, 2021 |
As filed with the Securities and Exchange Commission on April 9, 2021 Registration No. |
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| April 9, 2021 |
S-8 POS 1 tm219484d3s8pos.htm S-8 POS As filed with the Securities and Exchange Commission on April 9, 2021 Registration No. 333-223944 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 POST-EFFECTIVE AMENDMENT TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Emergent Capital, Inc. (Exact name of registrant as specified in its charter) Florida 6199 30-0663473 (State or oth |
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| April 8, 2021 |
Emergent Capital, Inc. Announces Completion of Restructuring EX-99.2 5 tm219998d1ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Emergent Capital, Inc. Announces Completion of Restructuring Boca Raton, Fla., April 8, 2021 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company") announced that on April 7, 2021 it consummated its previously announced restructuring. Accordingly, Emergent moved its operations to its former subsidiary, Lamington Road DAC, a des |
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| April 8, 2021 |
EMERGENT RESTRUCTURING – FAQs April 7, 2021 Exhibit 99.1 EMERGENT RESTRUCTURING – FAQs April 7, 2021 RESTRUCTURING Q: When did Emergent’s Restructuring occur? A: As previously disclosed, Emergent Capital, Inc. (“Emergent”) has determined to restructure so that its business is run by its Irish subsidiary, Lamington Road DAC (“Lamington”), and Emergent and its remaining US subsidiaries are liquidated (the “Restructuring”). The Restructuring o |
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| April 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2021 EMERGENT CAPITAL, INC. |
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| April 8, 2021 |
Exhibit 4.1 LAMINGTON ROAD DAC, as Issuer, and U.S. Bank National Association, as Trustee INDENTURE Dated as of April 7, 2021 Series A Notes due 2121 Series B Notes due 2121 Profit Participating Notes due 2121 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 10 Section 1.03 Rules of Construction 11 ARTICLE II TH |
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| April 8, 2021 |
Exhibit 4.2 Execution version GRANTOR TRUST DEED BY AND AMONG EMERGENT CAPITAL, INC., AS GRANTOR, AND MAPLES TRUSTEE SERVICES (CAYMAN) LIMITED AS GRANTOR TRUST TRUSTEE Dated as of 1 March 2021 THE LAMINGTON ROAD GRANTOR TRUST GRANTOR TRUST DEED GRANTOR TRUST DEED, dated as of 1 March 2021, by and among (i) EMERGENT CAPITAL, INC., a Florida corporation, as Grantor (the ?Grantor?), and (ii) Maples T |
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| April 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3)* Emergent Capital, Inc. (Name of Issuer) Common Stock, Par Value $0.01 per Share (Title of Class of Securities) 29102N105 (CUSIP Number) Eric LeGoff Pre |
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| March 1, 2021 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 28, 2022 Estimated average burden hours per response ......... 2.50 FORM 12b-25 SEC FILE NUMBER 001-35064 NOTIFICATION OF LATE FILING CUSIP NUMBER 29102N105 (Check one): x Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For the Period Ende |
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| January 13, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 tm213058d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2021 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction |
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| January 13, 2021 |
EMERGENT RESTRUCTURING – FAQs January 12, 2021 Exhibit 99.1 EMERGENT RESTRUCTURING – FAQs January 12, 2021 RESTRUCTURING Q: What is the purpose of Emergent’s restructuring? A: Emergent Capital, Inc. (“Emergent” and, together with its subsidiaries, the “Company”) has determined to restructure so that its business is run by its Irish subsidiary, Lamington Road DAC (“Lamington”), and Emergent and its remaining US subsidiaries are liquidated (the |
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| January 4, 2021 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: RED REEF ALTERNATIVE INVESTMENTS, LLC and EMERGENT CAPITAL, INC.,1 Debtors. ) ) ) ) ) ) ) ) Chapter 11 Case No. 20-12602 (BLS) Jointly Administered Related to Docket No. 167 ORDER CONFIRMING DEBTOR EMERGENT CAPITAL, INC.’S SECOND AMENDED CHAPTER 11 PLAN OF REORGANIZATION Emergent Capital, Inc., as a debtor and d |
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| January 4, 2021 |
Financial Statements and Exhibits, Bankruptcy or Receivership 8-K 1 tm2039694d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2020 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdictio |
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| November 5, 2020 |
EMG / Emergent Capital, Inc. / Brennan Opportunities Fund I LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Mark A. Ellis, Esq. Kutak Rock LLP 1650 Farnam Street Omaha, NE 68102 (402) 346-6000 (Name, Address and Teleph |
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| October 30, 2020 |
EMG / Emergent Capital, Inc. / Hua James Activist Investment SC 13D/A 1 eps9290.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)* Emergent Capital, Inc. (Name of Issuer) Common Stock, Par Value $0.01 per Share (Title of Class of Securities) 29102N105 (CUSIP Number) Devlin |
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| October 28, 2020 |
Bankruptcy or Receivership - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2020 EMERGENT CAPITAL, INC. |
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| October 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2020 EMERGENT CAPITAL, INC. |
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| October 16, 2020 |
EMG / Emergent Capital, Inc. / Evermore Global Advisors, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)* Emergent Capital, Inc. (Name of Issuer) Common Stock, Par Value $0.01 per Share (Title of Class of Securities) 29102N105 (CUSIP Number) Eric LeGoff Pre |
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| October 15, 2020 |
EX-99.1 2 q3-2020earningsrelease.htm EX-99.1 Emergent Capital, Inc. Announces Third Quarter 2020 Results Company Reports Book Value of $0.37 per Share Boca Raton, Fla., October 15, 2020 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today reported its financial results for the third fiscal quarter ended August 31, 2020. Emergent indirectly owns a 27.5% equity investment, hav |
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| October 15, 2020 |
emergent-convertiblenote RESTRUCTURING SUPPORT AGREEMENT (Convertible Notes) This RESTRUCTURING SUPPORT AGREEMENT (Convertible Notes) (together with all exhibits, schedules and attachments hereto, as amended, supplemented or otherwise modified from time to time, this “Agreement”), dated as of October 14, 2020, by and among (i) EMERGENT CAPITAL, INC. |
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| October 15, 2020 |
EX-10.1 2 emergent-seniornotesrest.htm EX-10.1 RESTRUCTURING SUPPORT AGREEMENT (Senior Notes) This RESTRUCTURING SUPPORT AGREEMENT (Senior Notes) (together with all exhibits, schedules and attachments hereto, as amended, supplemented or otherwise modified from time to time, this “Agreement”), dated as of October 14, 2020, by and among (i) EMERGENT CAPITAL, INC., a Florida corporation (“Emergent Ca |
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| October 15, 2020 |
8-K 1 emg8-kbankruptcy.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 14, 2020 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of |
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| October 15, 2020 |
Emergent Capital Inc. Restructuring Emergent Capital Inc. Restructuring Investor Frequently Asked Questions (“FAQs”) 1.What did Emergent Capital, Inc. announce? •On October 15, 2020, Emergent Capital, Inc. (“Emergent” or the “Company”) and a wholly-owned subsidiary filed voluntary petitions for relief (the “Chapter 11 Cases”) under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Distric |
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| October 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended August 31, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of regi |
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| October 15, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 15, 2020 EMERGENT CAPITAL, INC. |
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| October 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2020 EMERGENT CAPITAL, INC. |
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| September 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2020 EMERGENT CAPITAL, INC. |
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| July 9, 2020 |
Emergent Capital, Inc. Announces Second Quarter 2020 Results Company Reports Book Value of $0.37 per Share Boca Raton, Fla., July 9, 2020 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today reported its financial results for the second fiscal quarter ended May 31, 2020. Second Quarter 2020 and Recent Highlights • Total income from continuing operations was $9.1 million as c |
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| July 9, 2020 |
10-Q 1 emergent2q20form10-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended May 31, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT |
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| July 9, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8kq22020-earnings.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 9, 2020 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of i |
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| April 20, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 20, 2020 EMERGENT CAPITAL, INC. |
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| April 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended February 29, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of re |
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| April 20, 2020 |
Emergent Capital, Inc. Announces First Quarter 2020 Results Company Reports Book Value of $0.34 per Share Boca Raton, Fla., April 20, 2020 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today reported its financial results for the first quarter of 2020. First Quarter 2020 and Recent Highlights • Total Income from continuing operations was $18.8 million as compared to a loss |
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| April 15, 2020 |
EMG / Emergent Capital, Inc. NT 10-Q - - NT 10-Q NT 10-Q 1 emgform12b-25xfebruary2920.htm NT 10-Q OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 28, 2022 Estimated average burden hours per response ............ 2.50 FORM 12b-25 SEC FILE NUMBER 001-35064 NOTIFICATION OF LATE FILING CUSIP NUMBER 29102N105 29102N105 (Check one): £ Form 10-K £ Form 20-F £ Form 11-K T Form |
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| April 15, 2020 |
EMG / Emergent Capital, Inc. NT 10-Q/A - - NT 10-Q/A NT 10-Q/A 1 emgform12b-25xfebruary2920.htm NT 10-Q/A OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 28, 2022 Estimated average burden hours per response ............ 2.50 FORM 12b-25 SEC FILE NUMBER 001-35064 NOTIFICATION OF LATE FILING CUSIP NUMBER 29102N105 29102N105 (Check one): £ Form 10-K £ Form 20-F £ Form 11-K T F |
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| March 30, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2020 EMERGENT CAPITAL, INC. |
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| March 30, 2020 |
Investor Presentation As of March 27, 2020 Exhibit 99.1 Investor Presentation As of March 27, 2020 This Presentation has been designed to provide general information about Emergent Capital, Inc . (“Emergent” or Emergent Capital” or “EMGC”) and its subsidiaries (collectively the “Companies”) . Any information contained or referenced herein is suitable only as an introduction to the Companies . The recipient is strongly encouraged to refer t |
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| March 18, 2020 |
Exhibit 99.1 Emergent Capital Announces Q1 Maturities and Provides Investment Portfolio Update Nine White Eagle Portfolio Policies Mature in Q1 2020 Boca Raton, Fla., March 18, 2020 – Emergent Capital, Inc. (OTCQX: EMGC) (“Emergent”) today announced an update on recent life settlement policy maturities in the portfolio of White Eagle Asset Portfolio, LP (“White Eagle”). The following table sets fo |
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| March 18, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2020 EMERGENT CAPITAL, INC. |
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| March 17, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A (Amendment No. |
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| March 17, 2020 |
CORRECTION: Emergent Capital, Inc. Announces Fourth Quarter 2019 Results CORRECTION: Emergent Capital, Inc. Announces Fourth Quarter 2019 Results Emergent Capital, Inc. (OTCQX: EMGC) is issuing this press release to correct certain inadvertent and inaccurate data in the "Selected Operating Data" table in the earnings release issued on March 13, 2020.. Emergent Capital, Inc. Announces Fourth Quarter 2019 Results Boca Raton, Fla., March 13, 2020 – Emergent Capital, Inc. |
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| March 16, 2020 |
EMG / Emergent Capital, Inc. 10-K/A - Annual Report - 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A (Amendment No.1) (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended November 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-3 |
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| March 13, 2020 |
EMG / Emergent Capital, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended November 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35064 EMERGENT CAPIT |
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| March 13, 2020 |
Emergent Capital, Inc. Announces Fourth Quarter 2019 Results Emergent Capital, Inc. Announces Fourth Quarter 2019 Results Boca Raton, Fla., March 13, 2020 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three months and twelve months ended November 30, 2019. Notice of Financial Reporting Changes The Board of Directors changed the Company's fiscal year end from December 31 to November 30. As |
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| March 13, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 13, 2020 EMERGENT CAPITAL, INC. |
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| March 13, 2020 |
Subsidiaries of the Registrant. Exhibit 21.1. Subsidiaries of Emergent Capital, Inc., a Florida corporation Entity Jurisdiction Harbordale, LLC Delaware Haverhill Receivables, LLC Georgia Imperial Finance & Trading, LLC Florida Imperial Life and Annuity Services, LLC Florida Imperial Life Financing II, LLC Georgia Imperial Life Financing, LLC Illinois Imperial Life Settlements, LLC Delaware Imperial Litigation Funding, LLC Flori |
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| March 13, 2020 |
EX-4.9 2 descriptionofsecurities-em.htm EXHIBIT 4.9 DESCRIPTION OF SECURITIES Authorized and Outstanding Capital Stock The following description of our common stock and provisions of Emergent Capital, Inc.’s (the "Company") articles of incorporation and bylaws are summaries and are qualified by reference to the Company’s articles of incorporation and bylaws, which have been incorporated by referen |
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| February 28, 2020 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 28, 2022 Estimated average burden hours per response ............ 2.50 FORM 12b-25 SEC FILE NUMBER 001-35064 NOTIFICATION OF LATE FILING CUSIP NUMBER 29102N105 29102N105 (Check one): T Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For th |
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| February 14, 2020 |
EMG / Emergent Capital, Inc. / NORTH STAR PARTNERS LP - SC 13G/A Passive Investment SC 13G/A 1 tm206047-1sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 7) EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 Par Value Per Share (Title and Class of Securities) 29102N105 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appr |
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| January 29, 2020 |
2010 Omnibus Incentive Plan Form Restricted Stock Award Agreement Exhibit 10.1 5355 Town Center Road Suite 701 Boca Raton, FL 33486 EMERGENT CAPITAL, INC. 2010 OMNIBUS INCENTIVE PLAN AS AMENDED AND RESTATED RESTRICTED STOCK AWARD [NAME] [ADDRESS] [ADDRESS] Dear : You have been granted a Restricted Stock Award (the “Award”) under the Emergent Capital, Inc. 2010 Omnibus Incentive Plan, as amended and restated (the “Plan”), with terms and conditions described below |
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| January 29, 2020 |
EX-10.2 3 tm206145d1ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 AMENDMENT TO RETENTION AGREEMENT This Amendment (the “Amendment”) to the Retention Agreement between Jack Simony (“Simony”) and Imperial Finance and Trading, LLC (the “Company”) dated November 12, 2019 (the “Retention Agreement”) is entered into between Simony and the Company this 29th day of January 2020. WHEREAS Simony and the Company ente |
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| January 29, 2020 |
8-K 1 tm206145d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 27, 2020 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction o |
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| January 2, 2020 |
EMG / Emergent Capital, Inc. / Knapp Robert C - SCHEDULE 13D/A (AMENDMENT NO. 5) Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 29102N105 (CUSIP Number) Brett Lawrence Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY 10038 212-806-5422 (Name, Address and Telephone Numb |
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| January 2, 2020 |
Amended and Restated Agreement of Joint Filing Exhibit XI Amended and Restated Agreement of Joint Filing In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the shares of Common Stock, $0. |
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| December 16, 2019 |
Retention agreement between Emergent Capital, Inc and Miriam Martinez dated December 10, 2019. December 5, 2019 Miriam Martinez [email protected] Dear Ms. Martinez: Imperial Finance and Trading, LLC (the “Company”) is pleased to offer you a retention payment as described in this letter agreement (the “Retention Agreement”) in consideration of your continued support of the Company and its restructuring into an Irish entity (the “Transaction”). By signing this Retention Agreement, |
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| December 16, 2019 |
8-K 1 emg8-kmartinezretentionagr.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 10, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other juri |
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| December 6, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2019 EMERGENT CAPITAL, INC. |
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| November 26, 2019 |
8-K 1 tv5335298k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 25, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction o |
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| November 18, 2019 |
Retention agreement between Emergent Capital, Inc and Harvey Werblowsky dated November 8, 2019. November 8, 2019 Harvey Werblowsky [email protected] Dear Mr. Werblowsky: Imperial Finance and Trading, LLC (the “Company”) is pleased to offer you a retention payment as described in this letter agreement (the “Retention Agreement”) in consideration of your continued support of the Company and its restructuring into an Irish entity (the “Transaction”). By signing this Retention Agre |
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| November 18, 2019 |
Retention agreement between Emergent Capital, Inc and Jack Simony dated November 8, 2019. November 8, 2019 Jack Simony [email protected] Dear Mr. Simony: Imperial Finance and Trading, LLC (the “Company”) is pleased to offer you a retention payment as described in this letter agreement (the “Retention Agreement”) in consideration of your continued support of the Company and its restructuring into an Irish entity (the “Transaction”). By signing this Retention Agreement, you agr |
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| November 18, 2019 |
8-K 1 emg8-ksimonyandwerblowskyr.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other juri |
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| October 9, 2019 |
EMG / Emergent Capital, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended August 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of regi |
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| October 9, 2019 |
Emergent Capital, Inc. Announces Third Quarter 2019 Results Company consummates transaction with a strong, like-minded partner to reduce outstanding debt and exit bankruptcy Boca Raton, Fla., October 9, 2019 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three months and nine months ended August 31, 2019. Management Commentary "D |
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| October 9, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 9, 2019 EMERGENT CAPITAL, INC. |
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| August 28, 2019 |
Entry into a Material Definitive Agreement 8-K 1 emg8-kpayoffofoldconvertib.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 28, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisd |
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| August 20, 2019 |
EX-10.4 5 projectrodeo-pledgeagreeme.htm EXHIBIT 10.4 Ex. 10.4 PLEDGE AGREEMENT THIS PLEDGE AGREEMENT, dated as of 16, 2019 (this “Pledge Agreement”), is entered into by and among Lamington Road Designated Activity Company, a designated activity company limited by shares (incorporated and existing under the laws of Ireland with its registered office at 1-2 Victoria Buildings, Haddington Road, Dubl |
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| August 20, 2019 |
Ex. 10.2 ** Portions of this exhibit have been omitted pursuant to Rule 601(b)(10) of Regulation S-K. The omitted information is not material and would likely cause competitive harm to the registrant if publicly disclosed. AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP by and among WHITE EAGLE ASSET PORTFOLIO, LP, WHITE EAGLE GENERAL PARTNER, LLC, PALOMINO JV GP LIMITED and THE LIMITED PART |
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| August 20, 2019 |
8-K 1 emg8-kpalominoclosing.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 16, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdictio |
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| August 20, 2019 |
EX-10.1 2 whiteeagle-subscriptionagr.htm EXHIBIT 10.1 Ex. 10.1 WHITE EAGLE ASSET PORTFOLIO, LP SUBSCRIPTION AGREEMENT DATED AUGUST 16, 2019 THE PARTNERSHIP INTERESTS OF WHITE EAGLE ASSET PORTFOLIO, LP HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAW. THE PARTNERSHIP INTERESTS CANNOT BE SOLD, TRANSFERRED, ASSIGNED OR OTHERWISE DISPOSED OF EXCEPT IN |
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| August 20, 2019 |
Ex. 10.6 INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is entered into as of the 16th day of August, 2019, by and between Emergent Capital, Inc., a Florida corporation (the “Indemnitor”), and Wilmington Trust, National Association (together with its successors and assigns “Wilmington Trust”). WHEREAS, White Eagle Asset Portfolio, LP, a Delaware limited partnership (“W |
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| August 20, 2019 |
Emergent Capital Closes New Arrangement Emergent Capital Closes New Arrangement Boca Raton, Fla., August 19, 2019 - Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced that on August 16, 2019, Emergent and certain of its subsidiaries, including White Eagle Asset Portfolio, LP (“White Eagle”), closed a transaction pursuant to which it will partner with Palomino JV, LP (“Palomino”) in the ownership of its p |
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| August 20, 2019 |
Ex. 10.3 MASTER TERMINATION AGREEMENT This MASTER TERMINATION AGREEMENT (this "Agreement"), dated as of August 16, 2019 (the "Closing Date"), is entered into by and among White Eagle General Partner, LLC, a Delaware limited liability company (the "GP Pledgor"), Lamington Road Designated Activity Company, a designated activity company incorporated with limited liability under the laws of Ireland (t |
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| August 20, 2019 |
Ex. 10.5 ASSUMPTION AGREEMENT THIS ASSUMPTION AGREEMENT (this “Assumption Agreement”), dated as of August 16, 2019 (this “Agreement”), is entered into by and among White Eagle Asset Portfolio, LP, a Delaware limited partnership (the “Partnership”) and Lamington Road Designated Activity Company, a designated activity company incorporated with limited liability under the laws of Ireland (“Lamington |
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| July 24, 2019 |
EX-10.1 2 equityprojectrodeoformofco.htm EXHIBIT 10.1 CONFIDENTIAL July 18, 2019 To: White Eagle Asset Portfolio, LP 5355 Town Center Road, Suite 701 Boca Raton, FL 33486 White Eagle General Partner, LLC 5355 Town Center Road, Suite 701 Boca Raton, FL 33486 Lamington Road Designated Company Grand Canal House 2nd Floor Palmerston House Fenian Street Dublin, Ireland Emergent Capital, Inc. 5355 Town |
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| July 24, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 18, 2019 EMERGENT CAPITAL, INC. |
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| July 24, 2019 |
Emergent Capital Announces Financing Commitment for Bankruptcy Exit EX-99.1 3 emgcjademountaincommitment.htm EXHIBIT 99.1 Emergent Capital Announces Financing Commitment for Bankruptcy Exit Boca Raton, Fla., July 24, 2019 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced that on July 18, 2019, Emergent and its subsidiaries, including White Eagle Asset Portfolio, LP, entered into a binding commitment with Jade Mountain Partners i |
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| July 10, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8kq22019-earnings.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 31, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of i |
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| July 10, 2019 |
Emergent Capital, Inc. Announces Second Quarter 2019 Results EX-99.1 2 q2-2019earningsrelease.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces Second Quarter 2019 Results Boca Raton, Fla., July 10, 2019 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three and six months ended May 31, 2019. Second Quarter 2019 Financial Highlights As a result of a resolution adopted by the Board of Directo |
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| July 10, 2019 |
EMG / Emergent Capital, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended May 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of registr |
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| June 24, 2019 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: WHITE EAGLE ASSET PORTFOLIO, LP, et al. |
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| June 24, 2019 |
Financial Statements and Exhibits, Bankruptcy or Receivership UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 19, 2019 EMERGENT CAPITAL, INC. |
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| June 14, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 emg8-kplanofreorganddipfin.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 5, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdict |
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| June 14, 2019 |
DEBTOR-IN-POSSESSION CREDIT AGREEMENT dated as of May 24, 2019 among WHITE EAGLE ASSET PORTFOLIO, LP, as DIP Borrower, THE GUARANTORS FROM TIME TO TIME PARTY HERETO, as Guarantors, LNV CORPORATION, as DIP Lender, and CLMG CORP. |
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| June 14, 2019 |
SETTLEMENT AGREEMENT THIS SETTLEMENT AGREEMENT (this “Agreement”) dated as of May 24, 2019, is entered into by and among LNV Corporation, a Nevada corporation (“LNV”), and CLMG Corp. |
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| May 16, 2019 |
Submission of Matters to a Vote of Security Holders 8-K 1 emg8-k2019annualmeetingvot.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 16, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdict |
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| May 8, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 emg8-kproposedbealsettleme.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdicti |
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| May 8, 2019 |
EX-99.1 2 emgcbealsettlementannounc.htm EXHIBIT 99.1 Emergent Capital Announces Global Settlement Agreement in Principle in Bankruptcies and Suit Against Beal Bank Subsidiary Boca Raton, Fla., May 8, 2019 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced that on May 7, 2019, Emergent and its subsidiaries reached a global settlement in principle of the Chapter 11 |
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| April 10, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8kq12019-earnings.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction |
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| April 10, 2019 |
Emergent Capital, Inc. Announces First Quarter 2019 Results EX-99.1 2 q1-2019earningsrelease.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces First Quarter 2019 Results Boca Raton, Fla., April 10, 2019 – Emergent Capital, Inc. (OTCQX : EMGC) ("Emergent" or the "Company"), today announced its financial results for the three months ended February 28, 2019 and 2018.. First Quarter 2019 Financial Highlights As a result of a resolution adopted by the Board of |
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| April 10, 2019 |
EMG / Emergent Capital, Inc. 10-Q (Quarterly Report) 10-Q 1 emergent1q19form10-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended February 28, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EME |
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| April 3, 2019 |
EMG / Emergent Capital, Inc. DEF 14A DEF 14A 1 tv518006def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Pr |
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| March 15, 2019 |
EMG / Emergent Capital, Inc. 10-KT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-KT (Mark One) ¨ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 or þ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from January 1, 2018 to November 30, 2018 Commission file number: 001-35064 EMERGENT CAPITAL, INC. |
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| March 15, 2019 |
Subsidiaries of the Registrant. EX-21.1 2 emgsubsidiariesex211.htm EXHIBIT 21.1 Exhibit 21.1. Subsidiaries of Emergent Capital, Inc., a Florida corporation Entity Jurisdiction Blue Heron Designated Activity Company Ireland Golden Sparrow, LLC Delaware Harbordale, LLC Delaware Imperial Finance & Trading, LLC Florida Imperial Life Settlements, LLC Delaware Imperial Premium Finance, LLC Florida Imperial Settlements Financing 2010, |
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| March 15, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8kq42018-earningsxyearend.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 15, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdi |
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| March 15, 2019 |
Emergent Capital, Inc. Announces Fourth Quarter 2018 Results Company to Host Investor Conference Call on Tuesday March 19, 2019 at 4:30 p.m. Eastern Time Boca Raton, Fla., March 15, 2019 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced its financial results for the two month and eleven month periods ended November 30, 2018. On September 7, 2018, the Board of Di |
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| March 4, 2019 |
EMG / Emergent Capital, Inc. / Wolf James G. - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240. |
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| February 28, 2019 |
EMG / Emergent Capital, Inc. NT 10-K NT 10-K 1 form12b-25x113018.htm NT 10-K OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number 3235-0058 Expires: October 31, 2018 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 001-35064 NOTIFICATION OF LATE FILING CUSIP NUMBER 29102N105 29102N105 (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form |
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| February 25, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 21, 2019 EMERGENT CAPITAL, INC. |
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| February 25, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 20, 2019 EMERGENT CAPITAL, INC. |
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| February 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 11, 2019 EMERGENT CAPITAL, INC. |
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| February 15, 2019 |
Subscription Agreement dated as of February11, 2019, by and between Emergent Capital. SUBSCRIPTION AGREEMENT Emergent Capital, Inc. 5355 Town Center Road, Suite 701 Boca Raton, FL 33486 Ladies and Gentlemen: The undersigned (the “Investor”) hereby confirms its agreement with Emergent Capital, Inc., a Florida corporation (the “Company”), as follows: 1.This Subscription Agreement (this “Agreement”), is made as of the date set forth below between the Company and the Investor. 2.The Co |
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| February 14, 2019 |
EMG / Emergent Capital, Inc. / NORTH STAR PARTNERS LP - SC 13G/A Passive Investment SC 13G/A 1 tv512371sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6) EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 Par Value Per Share (Title and Class of Securities) 29102N105 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the approp |
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| February 13, 2019 |
EMG / Emergent Capital, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 29102N105 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 8, 2019 |
EMG / Emergent Capital, Inc. / Knapp Robert C - FORM SCHEDULE 13D/A Activist Investment SC 13D/A 1 p19-0032sch13da.htm FORM SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 29102N105 (CUSIP Number) Brett Lawrence Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY 1 |
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| February 7, 2019 |
EMG / Emergent Capital, Inc. / Wolf James G. - SC 13G Passive Investment SC 13G 1 sch13g22019.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT §240.13d-2 (Amendment No. ) EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock $.01 Par Value (Title of Class of Securities) 29102N105 (CUSIP |
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| February 4, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 30, 2019 EMERGENT CAPITAL, INC. |
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| February 4, 2019 |
EXECUTION VERSION NOTE PURCHASE AGREEMENT between EMERGENT CAPITAL, INC. and IRONSIDES PARTNERS SPECIAL SITUATIONS MASTER FUND III L.P. January 30, 2019 TABLE OF CONTENTS Page NOTE PURCHASE AGREEMENT 1 ARTICLE I DEFINITIONS 1 1.1 Definitions 1 ARTICLE II PURCHASE AND SALE 5 2.1 Agreement to Purchase and Sell. 5 2.2 Closing 5 2.3 Deliveries 5 2.4 Closing Conditions 6 ARTICLE III REPRESENTATIONS AND |
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| January 29, 2019 |
Emergent Capital Files Suit Against Beal Bank Subsidiary Claim alleges scheme to coerce sale of valuable portfolio of life insurance policies below its true value Boca Raton, Fla. |
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| January 29, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 emg8-kbeallitigationv3.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 25, 2019 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdict |
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| January 8, 2019 |
EMG / Emergent Capital, Inc. / Hua James Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N105 (CUSIP Number) Devlin H. Dwyer, Esq. Brodnan Dwyer, LLC 999 Peachtree Street, Suite 1120 Atlanta, GA 30309 (404) 389-9043 (Name, Add |
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| January 3, 2019 |
EX-10.1 2 emergentsubscriptionagreem.htm EXHIBIT 10.1 SUBSCRIPTION AGREEMENT Emergent Capital, Inc. 5355 Town Center Road, Suite 701 Boca Raton, FL 33486 Ladies and Gentlemen: The undersigned (the “Investor”) hereby confirms its agreement with Emergent Capital, Inc., a Florida corporation (the “Company”), as follows: 1.This Subscription Agreement (this “Agreement”), is made as of the date set fort |
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| January 3, 2019 |
Commitment Letter Ironsides Partners LLC dated December 28, 2018. IRONSIDES PARTNERS LLC December 28, 2018 Emergent Capital, Inc. 5355 Town Center Road, Suite 701 Boca Raton, FL 33486 Ladies and Gentlemen: Reference is made to following securities of Emergent Capital, Inc. (the “Company”): (i) the 8.5% Senior Secured Notes (the “Senior Notes”), (ii) the 8.5% Senior Unsecured Convertible Notes due 2019 (the “2019 Convertible Notes”), and (iii) 5.0% Senior Unsecur |
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| January 3, 2019 |
8-K 1 emg8-kseniornotesdecember2.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 28, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other juri |
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| January 3, 2019 |
EMG / Emergent Capital, Inc. / Evermore Global Advisors, LLC - SC 13D/A Activist Investment SC 13D/A 1 tv510291sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)* Emergent Capital, Inc. (Name of Issuer) Common Stock, Par Value $0.01 per Share (Title of Class of Securities) 2 |
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| January 2, 2019 |
EXHIBIT IX IRONSIDES PARTNERS LLC December 28, 2018 Emergent Capital, Inc. 5355 Town Center Road, Suite 701 Boca Raton, FL 33486 Ladies and Gentlemen: Reference is made to following securities of Emergent Capital, Inc. (the "Company"): (i) the 8.5% Senior Secured Notes (the "Senior Notes"), (ii) the 8.5% Senior Unsecured Convertible Notes due 2019 (the "2019 Convertible Notes"), and (iii) 5.0% Sen |
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| January 2, 2019 |
EMG / Emergent Capital, Inc. / Knapp Robert C - SCHEDULE 13D/A (AMENDMENT NO. 3) Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 29102N105 (CUSIP Number) Brett Lawrence Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY 10038 212-806-5422 (Name, Address and Telephone Numb |
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| December 14, 2018 |
8-K 1 emg8-kwefilingx4844x4682x6.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 13, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other juri |
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| December 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 10, 2018 EMERGENT CAPITAL, INC. |
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| December 14, 2018 |
EMERGENT CAPITAL, INC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Indenture Trustee Second Supplemental Indenture Dated as of December 10, 2018 to Amended and Restated Indenture Dated as of July 28, 2017 SECOND SUPPLEMENTAL INDENTURE, (this “Second Supplemental Indenture”), dated as of December 10, 2018 (the “Second Supplemental Effective Date”) between EMERGENT CAPITAL, INC., a cor |
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| December 12, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 11, 2018 EMERGENT CAPITAL, INC. |
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| December 7, 2018 |
8-K 1 emg8-kextensionofstandstil.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 6, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other juris |
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| December 6, 2018 |
1 INDEX TO FINANCIAL STATEMENTS Financial Statements and Report of Independent Certified Public Accountants EMERGENT CAPITAL, INC. |
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| December 6, 2018 |
Financial Statements and Exhibits 8-K/A 1 emg8-kanovember302017finan.htm 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 30, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-066347 |
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| December 4, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 4, 2018 EMERGENT CAPITAL, INC. |
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| November 30, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 emg8-knovember302017financ.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 30, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other juri |
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| November 30, 2018 |
1 INDEX TO FINANCIAL STATEMENTS EX-99.1 2 a2017emergentcapitalfinanc.htm EXHIBIT 99.1 Financial Statements and Report of Independent Certified Public Accountants EMERGENT CAPITAL, INC. November 30, 2017 1 INDEX TO FINANCIAL STATEMENTS Report of Independent Certified Public Accountants 1 Consolidated Balance Sheet as of November 30, 2017 2 Consolidated Statement of Operations for the eleven months ended November 30, 2017 3 Consol |
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| November 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 23, 2018 EMERGENT CAPITAL, INC. |
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| November 16, 2018 |
Emergent Capital, Inc. Announces Third Quarter 2018 Results EX-99.1 2 q32018earningsrelease.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces Third Quarter 2018 Results Boca Raton, Fla., November 16, 2018 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three month and nine month periods ended September 30, 2018. Third Quarter 2018 Financial Highlights Total income from continuing operation |
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| November 16, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 16, 2018 EMERGENT CAPITAL, INC. |
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| November 16, 2018 |
EMG / Emergent Capital, Inc. 10-Q (Quarterly Report) 10-Q 1 emergent3q18form10-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EM |
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| November 16, 2018 |
Amended and Restated Bylaws of Registrant, as amended. Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF EMERGENT CAPITAL, INC. (a Florida corporation) As of September 1, 2015 TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.1 Definitions 1 ARTICLE 2 OFFICES 2 Section 2.1 Principal and Business Offices 2 Section 2.2 Registered Office 2 ARTICLE 3 SHAREHOLDERS 2 Section 3.1 Annual Meeting 2 Section 3.2 Special Meetings 3 Section 3.3 Place of Meeting 4 Secti |
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| November 15, 2018 |
EMG / Emergent Capital, Inc. NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 OMB APPROVAL OMB Number3235-0058 Expires: November 30, 2018 Estimated average burden hours per response....2.50 SEC File Number: 001-35064 CUSIP Number: 29102N105 NOTIFICATION OF LATE FILING (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: Septembe |
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| September 12, 2018 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 7, 2018 EMERGENT CAPITAL, INC. |
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| August 20, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 20, 2018 EMERGENT CAPITAL, INC. |
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| August 20, 2018 |
Emergent Capital, Inc. Announces Second Quarter 2018 Results EX-99.1 2 q22018earningsrelease.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces Second Quarter 2018 Results Boca Raton, Fla., August 20, 2018 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three and six month periods ended June 30, 2018. Second Quarter 2018 Financial Highlights Total income from continuing operations was $5.6 m |
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| August 20, 2018 |
Commitment Letter from PJC Investments, LLC dated August 20, 2018. EX-10.3 4 emergentpjcsupportletterau.htm EXHIBIT 10.3 Exhibit 10.3 PJC Investments, LLC 204 Woodhew Drive Waco, TX 76712 August 20, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: PJC Investments, LLC (“PJC”) hereby confirms it, or its designee(s), will invest, on the terms and subje |
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| August 20, 2018 |
Commitment Letter from Evermore Global Advisors, LLC dated August 20, 2018. Exhibit 10.5 Evermore Global Advisors 89 Summit Avenue Summit, New Jersey 07901 908.378.2880 www.evermoreglobal.com August 20, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: Evermore Global Advisors, LLC (“EGA”) hereby confirms it, or its designee(s), will invest, on the terms and s |
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| August 20, 2018 |
2010 Omnibus Incentive Plan as Amended and Restated Stock Appreciation Rights Award Agreement. 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Exhibit 10.2 EMERGENT CAPITAL, INC. 2010 OMNIBUS INCENTIVE PLAN AS AMENDED AND RESTATED STOCK APPRECIATION RIGHTS AWARD [ADDRESS] [ADDRESS] [ADDRESS] Dear : You have been granted a Stock Appreciation Rights Award (the “Award”) under the Emergent Capital, Inc. 2010 Omnibus Incentive Plan, as amended and restated (the “Plan”), with terms and condi |
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| August 20, 2018 |
Commitment Letter River City Capital, LLC dated August 20, 2018. EX-10.4 5 emergentrivercitycapitalsu.htm EXHIBIT 10.4 Exhibit 10.4 River City Capital, LLC 13616 California Street, Suite 110 Omaha, NE 68154 August 20, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: River City Capital, LLC (“RCC”) hereby confirms it, or its designee(s), will invest |
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| August 20, 2018 |
EMG / Emergent Capital, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of regist |
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| August 20, 2018 |
EX-4.1 2 wilmington-emergentxfirsts.htm EXHIBIT 4.1 Exhibit 4.1 EMERGENT CAPITAL, INC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Indenture Trustee First Supplemental Indenture Dated as of January 10, 2018 to Amended and Restated Indenture Dated as of July 28, 2017 NG-2TSFKRLD 4833-7606-6647v3 FIRST SUPPLEMENTAL INDENTURE, dated as of January 10, 2018 (the “First Supplemental Indent |
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| August 14, 2018 |
EMG / Emergent Capital, Inc. NT 10-Q NT 10-Q 1 emg-12bx25xq22018.htm NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 OMB APPROVAL OMB Number3235-0058 Expires:October 31, 2018 Estimated average burden hours per response....2.50 SEC File Number: 001-35064 CUSIP Number: 29102N105 NOTIFICATION OF LATE FILING (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o |
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| July 16, 2018 |
Exhibit 10.1 EMERGENT CAPITAL, INC. 5355 Town Center Road Suite 701 Boca Raton, Florida 33486 July 10, 2018 SB Holdings, Inc. Sherman, Clay & Co. 1111 Bayhill Drive, Suite 450 San Bruno, CA 94066 Re: Project Mozart Ladies and Gentlemen: We refer to the Stock Purchase (the “Agreement”), dated as of January 22, 2018, by and among Emergent Capital, Inc. (“Emergent”), SB Holdings, Inc. (“Holdings”) an |
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| July 16, 2018 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 10, 2018 EMERGENT CAPITAL, INC. |
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| June 5, 2018 |
8-K 1 emgform8-k2018annualmeetin.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdic |
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| June 5, 2018 |
Exhibit 3.1 AMENDMENT NO. 2 TO AMENDED AND RESTATED BY-LAWS OF EMERGENT CAPITAL, INC. Amendment No. 2 to the amended and restated by-laws (the “By-laws”) of Emergent Capital, Inc., a Florida corporation (the “corporation”). 1.Pursuant to the resolution of the Board of Directors of the Corporation (the “Board of Directors”), dated April 6, 2018, Section 4.1 of the By-laws is hereby amended by delet |
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| May 29, 2018 |
Emergent Capital Announces Uplisting to OTCQX Market EX-99.1 2 emgotcqxuplistpressrelease.htm EXHIBIT 99.1 Emergent Capital Announces Uplisting to OTCQX Market Boca Raton, Fla., May 29, 2018 – Emergent Capital, Inc. (OTCQX: EMGC) ("Emergent" or the "Company"), today announced that shares of its common stock were approved for trading on the OTCQX® Best Market. Trading on the OTCQX will be today, Tuesday, May 29, 2018. Emergent’s Common Stock will con |
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| May 29, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 emgform8-kotcuplistv1.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction |
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| May 10, 2018 |
Commitment Letter from PJC Investments, LLC dated May 9, 2018. Exhibit 10.1 PJC Investments, LLC 204 Woodhew Drive Waco, TX 76712 May 9, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: PJC Investments, LLC (“PJC”) hereby confirms it, or its designee(s), will invest, on the terms and subject to the conditions set forth in this letter, up to $2 mi |
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| May 10, 2018 |
Commitment Letter from River City Capital, LLC dated May 9, 2018. Exhibit 10.3 River City Capital, LLC 13616 California Street, Suite 110 Omaha, NE 68154 May 9, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: River City Capital, LLC (“RCC”) hereby confirms it, or its designee(s), will invest, on the terms and subject to the conditions set forth in |
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| May 10, 2018 |
EMG / Emergent Capital, Inc. 10-Q (Quarterly Report) 10-Q 1 emergent1q18form10-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGE |
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| May 10, 2018 |
Commitment Letter from Evermore Global Advisors, LLC dated May 9, 2018. 89 Summit Avenue Summit, New Jersey 07901 Exhibit 10.2 908.378.2880 www.evermoreglobal.com May 9, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: Evermore Global Advisors, LLC (“EGA”) hereby confirms it, or its designee(s), will invest, on the terms and subject to the conditions set |
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| May 10, 2018 |
Stock purchase agreement between SB Holdings, Inc and Sherman, Clay & Co. dated January 22, 2018. EX-2.1 2 spa-projectmozartv13.htm EXHIBIT 2.1 Exhibit 2.1 EXECUTION VERSION STOCK PURCHASE AGREEMENT among EMERGENT CAPITAL, INC. SB HOLDINGS, INC. and SHERMAN, CLAY & CO. dated as of January 22, 2018 4813-0445-7812v.13 TABLE OF CONTENTS ARTICLE I The STOCK PURCHASE 1 Section 1.01 The Stock Purchase 1 Section 1.02 Closing 2 Section 1.03 Closing Deliveries 2 ARTICLE II EARN OUT 4 Section 2.01 Earn- |
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| May 10, 2018 |
EMG / Emergent Capital, Inc. 8-K (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2018 EMERGENT CAPITAL, INC. |
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| May 10, 2018 |
Emergent Capital, Inc. Announces First Quarter 2018 Results EX-99.1 2 q12018earningsrelease.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces First Quarter 2018 Results Boca Raton, Fla., May 10, 2018 – Emergent Capital, Inc. (OTCQB: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three month period ended March 31, 2018. First Quarter 2018 Financial Highlights Total income from continuing operations was $5.6 million for th |
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| May 8, 2018 |
EMG / Emergent Capital, Inc. / NORTH STAR PARTNERS LP - SC 13G/A Passive Investment SC 13G/A 1 tv493318sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5) EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 Par Value Per Share (Title and Class of Securities) 29102N105 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the approp |
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| April 20, 2018 |
EMG / Emergent Capital, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 6, 2018 |
EMG / Emergent Capital, Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 27, 2018 |
EMG / Emergent Capital, Inc. S-8 S-8 1 emergentforms-8x4849x4894x.htm S-8 As filed with the Securities and Exchange Commission on March 27, 2018 Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Emergent Capital, Inc. (Exact Name of Registrant as Specified in Its Charter) Florida 30-0663473 (State or Other Jurisdiction of Incorporation |
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| March 14, 2018 |
EMG / Emergent Capital, Inc. 8-K/A NO.1 (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No. |
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| March 14, 2018 |
EX-99.1 2 q42017earningsrelease-amen.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces Fourth Quarter and Year-End 2017 Results Company Reports Book Value of $1.25 per Share Boca Raton, Fla., March 13, 2018 – Emergent Capital, Inc. (OTCQB: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three months and year ended December 31, 2017. Three Months Ended December 31 |
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| March 14, 2018 |
Articles of Incorporation of Registrant, as amended. EX-3.1 2 emergent-articlesofincorpo.htm EXHIBIT 3.1 Exhibit 3.1 ARTICLES OF INCORPORATION OF IMPERIAL HOLDINGS, INC. ARTICLE 1 NAME AND ADDRESS Section 1.1 Name. The name of the corporation is Imperial Holdings, Inc. (the “Corporation”). Section 1.2 Address of Principal Office. The address of the principal office of the Corporation is 701 Park of Commerce Boulevard, Suite 301, Boca Raton, Florida |
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| March 14, 2018 |
Commitment Letter from PJC Investments, LLC dated March 13, 2018. Exhibit 10.28 March 13, 2018 Emergent Capital, Inc. Board of Directors c/o Ms. Miriam Martinez, CFO 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Confidential Ladies and Gentlemen: PJC Investments, LLC ("PJC") hereby confirms it will invest, on the terms and subject to the conditions set forth in this letter, up to $2 million (the "Investment") in Emergent Capital, Inc. (the "Company"), at |
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| March 14, 2018 |
Exhibit 10.3.4 FIRST AMENDMENT TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Agreement”) is made and entered into this 4th day of October, 2017, by and among WHITE EAGLE ASSET PORTFOLIO, LP, a Delaware limited partnership (the “Borrower”), IMPERIAL FINANCE & TRADING, LLC, a Florida limited liability |
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| March 14, 2018 |
Exhibit 10.5.1 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of March 13, 2018, between Imperial Finance & Trading, LLC. (“Imperial” or the “Company”) and Miriam Martinez (“Executive”). WHEREAS, the Company and Executive desire to enter into this Agreement in order to set forth the terms of Executive’s employment with the Company. NOW, THER |
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| March 14, 2018 |
2010 Omnibus Incentive Plan Form Restricted Stock Unit Award Agreement. 5355 Town Center Road Suite 701 Boca Raton, FL 33486 Exhibit 10.2.4 4847-8784-3927v.11 EMERGENT CAPITAL, INC. 2010 OMNIBUS INCENTIVE PLAN AS AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD [NAME] [ADDRESS] [ADDRESS] Dear : You have been granted a Restricted Stock Unit Award (the “Award”) under the Emergent Capital, Inc, 2010 Omnibus Incentive Plan, as amended and restated (the “Plan”), with terms |
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| March 14, 2018 |
Amended and Restated Bylaws of Registrant, as amended. Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF EMERGENT CAPITAL, INC. (a Florida corporation) As of September 1, 2015 1 4837-3256-2271v.1 TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.1 Definitions 1 ARTICLE 2 OFFICES 2 Section 2.1 Principal and Business Offices 2 Section 2.2 Registered Office 2 ARTICLE 3 SHAREHOLDERS 2 Section 3.1 Annual Meeting 2 Section 3.2 Special Meetings 3 Section 3.3 Plac |
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| March 14, 2018 |
Exhibit 10.26 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of March 13, 2018, between Imperial Finance and Trading, LLC (the “Company”) and Jack Simony (“Executive”). WHEREAS, the Company and Executive desire to enter into this Agreement in order to set forth the terms of Executive’s employment with the Company. NOW, THEREFORE, in consider |
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| March 14, 2018 |
Exhibit 10.27 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of March 13, 2018, between Imperial Finance and Trading , LLC. (“Imperial” or the “Company”) and Harvey Werblowsky (“Executive”). WHEREAS, the Company and Executive desire to enter into this Agreement in order to set forth the terms of Executive’s employment with the Company. NOW, |
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| March 14, 2018 |
Subsidiaries of the Registrant. Exhibit 21.1. Subsidiaries of Emergent Capital, Inc., a Florida corporation Entity Jurisdiction Blue Heron Designated Activity Company Ireland Golden Sparrow, LLC Delaware Harbordale, LLC Delaware Imperial Finance & Trading, LLC Florida Imperial Life Settlements, LLC Delaware Imperial Premium Finance, LLC Florida Imperial Settlements Financing 2010, LLC Georgia Lamington Road Bermuda Ltd. Bermuda |
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| March 14, 2018 |
EMG / Emergent Capital, Inc. 10-K (Annual Report) 10-K 1 a2017emergentcapital10-k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss |
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| March 13, 2018 |
Emergent Capital, Inc. Announces Fourth Quarter and Year-End 2017 Results Company Reports Book Value of $1.25 per Share Boca Raton, Fla., March 13, 2018 – Emergent Capital, Inc. (OTCQB: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three months and year ended December 31, 2017. Three Months Ended December 31, 2017 Total loss from continuing operations was $1.7 |
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| March 13, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8kq4earnings2017.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 13, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of |
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| March 12, 2018 |
Amendment No. 1 to By-Laws of Emergent Capital, Inc. Amendment No. 1 TO AMENDED AND RESTATED By-laws Of EMERGENT CAPITAL, INC. Amendment No. 1 to the amended and restated by-laws (the "By-laws") of Emergent Capital, Inc., a Florida corporation (the "corporation"). 1. Pursuant to the resolution of the Board of Directors of the Corporation (the "Board of Directors"), dated March 6, 2018, Section 3.15 of the By-laws is hereby amended by adding the foll |
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| March 12, 2018 |
8-K 1 a8kbylawamendment.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 6, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of i |
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| February 14, 2018 |
EMG / Emergent Capital, Inc. / NORTH STAR PARTNERS LP - SC 13G/A Passive Investment SC 13G/A 1 tv483979sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4) EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 Par Value Per Share (Title and Class of Securities) 29102N105 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the approp |
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| February 14, 2018 |
EMG / Emergent Capital, Inc. / Nantahala Capital Management, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 29102N303 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| January 25, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a8kprojectmozart.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 22, 2018 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of |
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| January 25, 2018 |
Emergent Capital Announces Purchase of Sherman Clay & Co. Exhibit Emergent Capital Announces Purchase of Sherman Clay & Co. BOCA RATON, Fla., January 25, 2018 - Emergent Capital, Inc. (OTCQB: EMGC) (?Emergent?) announced that, on January 22, 2018, Emergent entered into a stock purchase agreement with SB Holdings, Inc., a California corporation, and Sherman, Clay & Co. an Indiana corporation and wholly-owned Subsidiary of SB Holdings Inc. Emergent agreed |
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| January 2, 2018 |
EMG / Emergent Capital, Inc. / Knapp Robert C - SCHEDULE 13 D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 29102N105 (CUSIP Number) Brett Lawrence Stroock & Stroock & Lavan LLP 180 Maiden Lane New York, NY 10038 212-806-5422 (Name, Address and Telephone Numb |
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| January 2, 2018 |
Amended and Restated Agreement of Joint Filing EX-99.VIII 2 p18-0002ex99viii.htm EXHIBIT VIII AMENDED AND RESTATED JOINT FILING AGREEMENT Exhibit VIII Amended and Restated Agreement of Joint Filing In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) on |
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| December 7, 2017 |
EMG / Emergent Capital, Inc. / Brennan Opportunities Fund I Lp - SC 13D/A Activist Investment SC 13D/A 1 d463021dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Mark A. Ellis, Esq. Kutak Rock LLP 1650 Farnam Street Omaha, NE 68102 (402) 346- |
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| November 3, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K/A 1 a8kq32017-earningsamended.htm 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 2, 2017 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other |
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| November 3, 2017 |
Emergent Capital, Inc. Announces Third Quarter 2017 Results EX-99.1 2 q32017earningsreleaseamend.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces Third Quarter 2017 Results Boca Raton, Fla., November 2, 2017 – Emergent Capital, Inc. (OTCQB: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three and nine month periods ended September 30, 2017. Three Months Ended September 30, 2017 Total income from continuing operations wa |
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| November 2, 2017 |
Emergent Capital, Inc. Announces Third Quarter 2017 Results EX-99.1 2 q32017earningsrelease.htm EXHIBIT 99.1 Emergent Capital, Inc. Announces Third Quarter 2017 Results Boca Raton, Fla., November 2, 2017 – Emergent Capital, Inc. (OTCQB: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three and nine month periods ended September 30, 2017. Three Months Ended September 30, 2017 Total income from continuing operations was $24 |
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| November 2, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8kq32017-earnings.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 2, 2017 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction |
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| November 2, 2017 |
EMG / Emergent Capital, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of r |
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| October 31, 2017 |
EX-99.1 2 a17-249341ex99d1.htm EX-99.1 Exhibit 99.1 Emergent Capital Announces Appointments of Patrick J. Curry as Permanent CEO and Roy J. Patterson as Director BOCA RATON, Fla., October 31, 2017- Emergent Capital, Inc. (OTCQB: EMGC) (“Emergent” or the “Company”) announced that, effective October 23, 2017, Antony Mitchell resigned as Emergent’s CEO and as a Member of the Board of Directors to pur |
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| October 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2017 EMERGENT CAPITAL, INC. |
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| October 25, 2017 |
Separation Agreement between the Registrant and Anthony Mitchell dated October 23, 2017. Exhibit 10.1 SEPARATION AGREEMENT This SEPARATION AGREEMENT (the ?Separation Agreement?) is entered into this 23rd day of October 2017 (the ?Separation Date?), between Antony Mitchell (?Mitchell?) and Emergent Capital, Inc. (the ?Company?) (each a ?Party,? and together, the ?Parties?). WHEREAS Mr. Mitchell has served as the Chief Executive Officer of the Company and serves as a member of the Board |
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| October 25, 2017 |
8-K 1 a17-2442218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2017 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of in |
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| September 28, 2017 |
Common stock, $0.01 par value per share 5.00% Senior Unsecured Convertible Notes due 2023 424B3 1 a17-209742424b3.htm 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-220187 PROSPECTUS (To Registration Statement dated September 28, 2017) Common stock, $0.01 par value per share 5.00% Senior Unsecured Convertible Notes due 2023 This prospectus relates to the resale, from time to time, of up to 207,918,483 shares of common stock, par value $0.01 per share (the |
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| September 26, 2017 |
EMG / Emergent Capital, Inc. ESP CORRESP 1 filename1.htm United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Irene Paik Re: Emergent Capital, Inc. Registration Statement on Form S-1 (Registration No. 333-220187) Dear Ms. Paik: Emergent Capital, Inc. (the “Company”) hereby requests, pursuant to Rule 461 promulgated under the Securities Act of 1933, a |
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| September 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2017 EMERGENT CAPITAL, INC. |
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| September 21, 2017 |
Mediation Agreement dated September 15, 2017 between Emergent Capital, Inc. and Antony Mitchell Exhibit 10.1 This MEDIATION AGREEMENT is entered into this 15th day of September, 2017 (the ?Effective Date?), by and between Antony Mitchell (?Mitchell?) and Emergent Capital, Inc. (the ?Company?) (together, the ?Parties?). 1. Mitchell shall resign as Chief Executive Officer of the Company and as a member of the Board of Directors of the Company and shall waive, release and remise any entitlement |
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| September 15, 2017 |
As filed with the Securities and Exchange Commission on September 15, 2017 Table of Contents As filed with the Securities and Exchange Commission on September 15, 2017 Registration No. |
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| September 15, 2017 |
EMG / Emergent Capital, Inc. ESP 701 Brickell Avenue, Suite 3300 | Miami, FL 33131 | T 305.374.8500 | F 305.789.7799 Holland & Knight LLP | www.hklaw.com Rodney H. Bell 305.789.7639 [email protected] September 15, 2017 Irene Paik Office of Healthcare & Insurance United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Emergent Capital, Inc. Registration State |
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| September 11, 2017 |
Emergent Capital 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2017 EMERGENT CAPITAL, INC. |
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| August 25, 2017 |
AMENDMENT NO. 1 TO MASTER TRANSACTION AGREEMENT Exhibit 10.42 AMENDMENT NO. 1 TO MASTER TRANSACTION AGREEMENT This Amendment No. 1 to Master Transaction Agreement (this ?Amendment?), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of May 12, 2017, as amended to date and from time to time (the ?Agreement?), by and among Emergent Capital, Inc., a Florida corporation (?Emergent?), PJC Investments, |
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| August 25, 2017 |
AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT EX-10.40 24 a17-209741ex10d40.htm EX-10.40 Exhibit 10.40 AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT This Amendment No. 2 to Master Transaction Agreement (this “Amendment”), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of March 15, 2017, as amended to date and from time to time (the “Agreement”), by and among Emergent Capital, Inc., a Flori |
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| August 25, 2017 |
AMENDMENT TO MASTER TRANSACTION AGREEMENT Exhibit 10.33 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. Execution Version AMENDMENT TO MASTER TRANSACTION AGREEMENT This Amendment to Master Transaction Agreement (this ?Amendment?), entered into this 7th day of April, 2017, amends that certain Master Transaction Agreemen |
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| August 25, 2017 |
AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT EX-10.28 12 a17-209741ex10d28.htm EX-10.28 Exhibit 10.28 AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT This Amendment No. 2 to Master Transaction Agreement (this “Amendment”), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of March 15, 2017, as amended to date and from time to time (the “Agreement”), by and among Emergent Capital, Inc., a Flori |
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| August 25, 2017 |
EX-10.32 16 a17-209741ex10d32.htm EX-10.32 Exhibit 10.32 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. EXECUTION VERSION MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of March 15, 2017, by and between Emergent Capital, Inc., a Flo |
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| August 25, 2017 |
AMENDMENT TO MASTER TRANSACTION AGREEMENT Exhibit 10.36 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. Execution Version AMENDMENT TO MASTER TRANSACTION AGREEMENT This Amendment to Master Transaction Agreement (this ?Amendment?), entered into this 7th day of April, 2017, amends that certain Master Transaction Agreemen |
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| August 25, 2017 |
EX-10.23 7 a17-209741ex10d23.htm EX-10.23 Exhibit 10.23 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. EXECUTION VERSION MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of March 15, 2017, by and between Emergent Capital, Inc., a Flor |
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| August 25, 2017 |
AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT Exhibit 10.37 AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT This Amendment No. 2 to Master Transaction Agreement (this ?Amendment?), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of March 15, 2017, as amended to date and from time to time (the ?Agreement?), by and among Emergent Capital, Inc., a Florida corporation (?Emergent?), PJC Investment |
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| August 25, 2017 |
AMENDMENT TO MASTER TRANSACTION AGREEMENT Exhibit 10.30 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. Execution Version AMENDMENT TO MASTER TRANSACTION AGREEMENT This Amendment to Master Transaction Agreement (this ?Amendment?), entered into this 7th day of April, 2017, amends that certain Master Transaction Agreemen |
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| August 25, 2017 |
Form of Restricted 5.00% Senior Unsecured Convertible Note Due 2023 Exhibit 4.8 FORM OF FACE OF SECURITY UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY (AND ANY PAYME |
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| August 25, 2017 |
EX-10.41 25 a17-209741ex10d41.htm EX-10.41 Exhibit 10.41 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of May 12, 2017, by and between Emergent Capital, Inc., a Florida corporation (“E |
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| August 25, 2017 |
EX-10.38 22 a17-209741ex10d38.htm EX-10.38 Exhibit 10.38 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. EXECUTION VERSION MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of March 15, 2017, by and between Emergent Capital, Inc., a Flo |
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| August 25, 2017 |
AMENDMENT TO MASTER TRANSACTION AGREEMENT Exhibit 10.39 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. Execution Version AMENDMENT TO MASTER TRANSACTION AGREEMENT This Amendment to Master Transaction Agreement (this ?Amendment?), entered into this 7th day of April, 2017, amends that certain Master Transaction Agreemen |
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| August 25, 2017 |
AMENDMENT TO MASTER TRANSACTION AGREEMENT EX-10.27 11 a17-209741ex10d27.htm EX-10.27 Exhibit 10.27 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. Execution Version AMENDMENT TO MASTER TRANSACTION AGREEMENT This Amendment to Master Transaction Agreement (this “Amendment”), entered into this 7th day of April, 2017, amen |
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| August 25, 2017 |
EX-10.29 13 a17-209741ex10d29.htm EX-10.29 Exhibit 10.29 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. EXECUTION VERSION MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of March 15, 2017, by and between Emergent Capital, Inc., a Flo |
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| August 25, 2017 |
Bridge Note made in favor of PJC Investments, LLC, dated May 15, 2017. Exhibit 4.9 EMERGENT CAPITAL, INC. PROMISSORY NOTE May 15, 2017 $1,500,000.00 FOR VALUE RECEIVED, EMERGENT CAPITAL, INC., a Florida corporation (the ?Company?), hereby unconditionally promises to pay to the order of PJC INVESTMENTS, LLC, a Texas limited liability company (the ?Payee?), 1404 New Road, Waco, TX 76711, on or before the Maturity Date (a) the principal amount of One Million, Five Hundr |
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| August 25, 2017 |
As filed with the Securities and Exchange Commission on August 25, 2017 Table of Contents As filed with the Securities and Exchange Commission on August 25, 2017 Registration No. |
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| August 25, 2017 |
Form of Unrestricted 5.00% Senior Unsecured Convertible Note Due 2023 Exhibit 4.18 FORM OF FACE OF SECURITY UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY (AND ANY PAYM |
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| August 25, 2017 |
AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT EX-10.34 18 a17-209741ex10d34.htm EX-10.34 Exhibit 10.34 AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT This Amendment No. 2 to Master Transaction Agreement (this “Amendment”), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of March 15, 2017, as amended to date and from time to time (the “Agreement”), by and among Emergent Capital, Inc., a Flori |
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| August 25, 2017 |
AMENDMENT TO MASTER TRANSACTION AGREEMENT Exhibit 10.24 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. Execution Version AMENDMENT TO MASTER TRANSACTION AGREEMENT This Amendment to Master Transaction Agreement (this ?Amendment?), entered into this 7th day of April, 2017, amends that certain Master Transaction Agreemen |
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| August 25, 2017 |
EX-10.26 10 a17-209741ex10d26.htm EX-10.26 Exhibit 10.26 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. EXECUTION VERSION MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of March 15, 2017, by and between Emergent Capital, Inc., a Flo |
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| August 25, 2017 |
AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT EX-10.31 15 a17-209741ex10d31.htm EX-10.31 Exhibit 10.31 AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT This Amendment No. 2 to Master Transaction Agreement (this “Amendment”), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of March 15, 2017, as amended to date and from time to time (the “Agreement”), by and among Emergent Capital, Inc., a Flori |
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| August 25, 2017 |
EX-10.35 19 a17-209741ex10d35.htm EX-10.35 Exhibit 10.35 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED WITH THE SECURITIES AND EXCHANGE COMMISSION SEPARATELY. EXECUTION VERSION MASTER TRANSACTION AGREEMENT THIS MASTER TRANSACTION AGREEMENT (this “Agreement”), dated as of March 15, 2017, by and between Emergent Capital, Inc., a Flo |
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| August 25, 2017 |
Exhibit 12.1 RATIO OF EARNINGS TO FIXED CHARGES Emergent Capital, Inc. CONSOLIDATED RATIO OF EARNINGS TO FIXED CHARGES FOR FISCAL YEARS 2012 THROUGH 2016 AND FOR THE SIX MONTHS ENDED JUNE 30, 2017 (ACTUAL AND PRO FORMA) For the year ended December 31, Pro forma 2017 Unaudited 2017 Pro forma 2016 2016 2015 2014 2013 2012 Ratio of earnings to fixed charges(1)(2)(3)(4)(5) — — — — — — 4.8 — Six Months |
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| August 25, 2017 |
Amended and Restated Bridge Note made in favor of PJC Investments, LLC, dated June 28, 2017. Exhibit 4.10 EMERGENT CAPITAL, INC. AMENDED AND RESTATED PROMISSORY NOTE As of May 15, 2017 $3,300,000.00 FOR VALUE RECEIVED, EMERGENT CAPITAL, INC., a Florida corporation (the ?Company?), hereby unconditionally promises to pay to the order of PJC INVESTMENTS, LLC, a Texas limited liability company (the ?Payee?), 1404 New Road, Waco, TX 76711, on or before the Maturity Date (a) the principal amoun |
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| August 25, 2017 |
AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT EX-10.25 9 a17-209741ex10d25.htm EX-10.25 Exhibit 10.25 AMENDMENT NO. 2 TO MASTER TRANSACTION AGREEMENT This Amendment No. 2 to Master Transaction Agreement (this “Amendment”), entered into this 19th day of June, 2017, amends that certain Master Transaction Agreement made as of March 15, 2017, as amended to date and from time to time (the “Agreement”), by and among Emergent Capital, Inc., a Florid |
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| August 24, 2017 |
SC 13D/A 1 p17-0168form13da.htm SCHEDULE 13 D/A (AMENDMENT NO. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* EMERGENT CAPITAL, INC. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 29102N105 (CUSIP Number) Brett Lawrence Stroock & Stroock & Lavan LLP 180 Maiden Lane |
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| August 24, 2017 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13D with respect to the shares of common stock of Emergent Capital, Inc. is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) promulgated under the Securities Exchan |
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| August 24, 2017 |
EMG / Emergent Capital, Inc. / Brennan Opportunities Fund I Lp - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Mark A. Ellis, Esq. Kutak Rock LLP 1650 Farnam Street Omaha, NE 68102 (402) 346-6000 (Name, Address and Telephone |
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| August 15, 2017 |
8-K 1 a8-kinterimceo.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 15, 2017 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction of in |
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| August 14, 2017 |
8-K 1 a8kq22017-earnings.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 10, 2017 EMERGENT CAPITAL, INC. (Exact name of registrant as specified in its charter) Florida 001-35064 30-0663473 (State or other jurisdiction o |
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| August 14, 2017 |
Emergent Capital, Inc. Announces Second Quarter 2017 Results Exhibit Emergent Capital, Inc. Announces Second Quarter 2017 Results Boca Raton, Fla., August 14, 2017 ? Emergent Capital, Inc. (OTCQB: EMGC) ("Emergent" or the "Company"), today announced its financial results for the three and six month periods ended June 30, 2017 . Three Months Ended June 30, 2017 Total income from continuing operations was $3.5 million for the three month period ended June 30, |
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| August 14, 2017 |
Exhibit Exhibit 31.2 |
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| August 14, 2017 |
Execution Version SECURITIES PURCHASE AGREEMENT between EMERGENT CAPITAL, INC. and BRENNAN OPPORTUNITIES FUND I LP August 11, 2017 4815-7181-3964v.5 TABLE OF CONTENTS Page ARTICLE IDEFINITIONS 1 1.1Definitions 1 ARTICLE IIPURCHASE AND SALE 5 2.1Agreement to Sell and Purchase 5 2.2Closing 5 2.3Deliveries 5 2.4Closing Conditions 6 ARTICLE IIIREPRESENTATIONS AND WARRANTIES 7 3.1Representations and Wa |
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| August 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35064 EMERGENT CAPITAL, INC. (Exact name of regist |
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| August 14, 2017 |
EMERGENT CAPITAL, INC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Indenture Trustee Third Supplemental Indenture Dated as of June 28, 2017 to Indenture Dated as of March 11, 2016 THIRD SUPPLEMENTAL INDENTURE, dated as of June 28, 2017 (the “Third Supplemental Indenture”), among EMERGENT CAPITAL, INC., a corporation duly organized and existing under the laws of the State of Florida ( |
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| August 14, 2017 |
EXECUTION VERSION CONSENT AND FORBEARANCE AGREEMENT This Consent and Forbearance Agreement (this “Agreement”) is entered into as of June 21, 2017 by and among Emergent Capital, Inc. |
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| August 14, 2017 |
EMERGENT CAPITAL, INC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Indenture Trustee Second Supplemental Indenture Dated as of May 15, 2017 to Indenture Dated as of March 11, 2016 SECOND SUPPLEMENTAL INDENTURE, dated as of May 15, 2017 (the “Second Supplemental Indenture”), among EMERGENT CAPITAL, INC., a corporation duly organized and existing under the laws of the State of Florida |
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| August 14, 2017 |
EX-10.32 6 registrationrightsagreemen.htm EXHIBIT 10.32 Execution Version REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of August 11, 2017, by and between Emergent Capital, Inc., a Florida corporation (the “Company”), and Brennan Opportunities Fund I LP, a Delaware limited partnership (the “Purchaser”, and together with the Company, |
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| August 14, 2017 |
Exhibit 31.1 CERTIFICATIONS I, Antony Mitchell, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of Emergent Capital, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| August 11, 2017 |
EMG / Emergent Capital, Inc. / Pjc Investments, Llc - SCHEDULE 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Merrill B. Stone, Esq. Kelley Drye & Warren LLP 101 Park Avenue New York, NY 10178 (212) 808-7800 (Name, Address and Telephone Numbe |
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| August 11, 2017 |
SECURITIES ACQUISITION AGREEMENT EX-10.21 2 v473070ex10-21.htm EXHIBIT 10.21 Exhibit 10.21 execution version SECURITIES ACQUISITION AGREEMENT This SECURITIES ACQUISITION AGREEMENT (this “Agreement”) is entered into as of July 26, 2017 by and among Evermore Global Advisors, LLC (“Evermore”) and PJC Investments, LLC, a Texas limited liability company (“PJC”). WHEREAS, PJC is party to Master Transaction Agreements, dated as of March |
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| August 10, 2017 |
NT 10-Q 1 form12b-25xq22017.htm NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC File Number: 001-35064 CUSIP Number: 29102N105 NOTIFICATION OF LATE FILING (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2017 o Transition Report on Form 10-K o Transition Report on Form 20-F |
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| August 10, 2017 |
EXECUTION VERSION DESIGNATION AGREEMENT This DESIGNATION AGREEMENT (as amended, supplemented or otherwise modified from time to time, this “Agreement”), dated as of July 28, 2017, is entered into by and between (a) Emergent Capital, Inc. |
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| August 10, 2017 |
SECURITIES ACQUISITION AGREEMENT Exhibit 10.21 SECURITIES ACQUISITION AGREEMENT This SECURITIES ACQUISITION AGREEMENT (this “Agreement”) is entered into as of July 28, 2017 by and among Opal Sheppard Opportunities Fund I LP (“Opal Sheppard”) and PJC Investments, LLC, a Texas limited liability company (“PJC”). WHEREAS, PJC is party to Master Transaction Agreements, dated as of March 15, 2017 and May 12, 2017, as amended to date an |
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| August 10, 2017 |
EMG / Emergent Capital, Inc. / Hua James Activist Investment SC 13D 1 eps7455.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Devlin H. Dwyer, Esq. Kowan & Cordon, LLC 75 14th Street, Suite 2250 Atlanta, GA 30309 (404) 389-90 |
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| August 10, 2017 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13D with respect to the Common Stock, $0.01 par value, of Emergent Capital, Inc. dated as of the date hereof is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) un |
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| August 7, 2017 |
EMG / Emergent Capital, Inc. / Pjc Investments, Llc - SC 13D Activist Investment SC 13D 1 v472404sc13d.htm SC 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Emergent Capital, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 29102N303 (CUSIP Number) Merrill B. Stone, Esq. Kelley Drye & Warren LLP 101 Park Avenue New York, NY 10178 (212) 808-7800 (N |
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| August 7, 2017 |
sECURITIES aCQUISITION AGREEMENT Exhibit 10.24 EXECUTION VERSION sECURITIES aCQUISITION AGREEMENT This SECURITIES ACQUISITION AGREEMENT (this “Agreement”) is entered into as of July 28, 2017 by and among Mimesis Capital Partners LLC (“Mimesis”), PJC Investments, LLC, a Texas limited liability company (“PJC”) and Triax Capital Advisors LLC, a New York limited liability company (“Triax”). Each of PJC and Triax may also be referred |
