4//SEC Filing
Mitchell Antony 4
Accession 0000899243-17-024953
CIK 0001494448other
Filed
Oct 30, 8:00 PM ET
Accepted
Oct 31, 2:19 PM ET
Size
16.0 KB
Accession
0000899243-17-024953
Insider Transaction Report
Form 4
Mitchell Antony
DirectorChief Exec Officer
Transactions
- Sale
Common Stock
2017-10-31$0.20/sh−5,000,000$1,000,000→ 0 total(indirect: By Tin-Rez Corp.)
Holdings
- 814,334
Common Stock
- 450,371
Warrant (right to buy)
Exercise: $12.90Exp: 2018-02-08→ Common Stock (450,371 underlying) - 450,370
Warrant (right to buy)
Exercise: $16.13Exp: 2018-02-08→ Common Stock (450,370 underlying) - 20,799
Warrant (right to buy)
Exercise: $14.51Exp: 2018-02-15→ Common Stock (20,799 underlying) - 450,370
Warrant (right to buy)
Exercise: $14.51Exp: 2018-02-08→ Common Stock (450,370 underlying) - 20,799
Warrant (right to buy)
Exercise: $12.90Exp: 2018-02-15→ Common Stock (20,799 underlying) - 20,798
Warrant (right to buy)
Exercise: $16.13Exp: 2018-02-15→ Common Stock (20,798 underlying) - 120,000
Stock Option (right to buy)
Exercise: $10.75Exp: 2018-02-07→ Common Stock (120,000 underlying) - 120,000
Stock Option (right to buy)
Exercise: $6.94Exp: 2020-06-06→ Common Stock (120,000 underlying)
Footnotes (4)
- [F1]The reporting person may be deemed to be a beneficial owner of these shares and disclaims beneficial ownership of these shares except to the extent of any indirect pecuniary interest therein.
- [F2]The warrants vest pro rata over a four year period.
- [F3]The options vest pro rata over a three-year period beginning on the first anniversary of the date of grant.
- [F4]The option is vested as to one third of the shares on the date of grant. The remaining shares vest in two equal installments on June 6, 2014 and June 6, 2015.
Documents
Issuer
EMERGENT CAPITAL, INC.
CIK 0001494448
Entity typeother
Related Parties
1- filerCIK 0001494452
Filing Metadata
- Form type
- 4
- Filed
- Oct 30, 8:00 PM ET
- Accepted
- Oct 31, 2:19 PM ET
- Size
- 16.0 KB