HOUK MATTHEW D enters EMERGENT CAPITAL, INC. with 2.79M shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Indirect Derivatives

HOUK MATTHEW D

Filed: 12/17/2018ACC: 0000932440-18-000111

InsiderHOUK MATTHEW DCIK 1557772

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IssuerEMERGENT CAPITAL, INC.CIK 1494448

Director

Since Dec 2018

2.79M

Baseline shares

1% direct

37.92K

Direct ownership

1 position

600K

Derivative underlying

1 instrument

Security positions

2.75M indirect

Non-Derivative Holdings6

Common Stock, par value $0.01 per share

Indirect

Shares owned32.14K

Common Stock, par value $0.01 per share

Indirect

Shares owned2.50M

Common Stock, par value $0.01 per share

Indirect

Shares owned7.29K

Common Stock, par value $0.01 per share

Indirect

Shares owned207.12K

Common Stock, par value $0.01 per share

Direct

Shares owned37.92K

Common Stock, par value $0.01 per share

Indirect

Shares owned7.98K

Total

37.92K direct·2.75M indirect2.79M

Security Title	Shares Owned	Ownership Type
Common Stock, par value $0.01 per share	32.14K	Indirect
Common Stock, par value $0.01 per share	2.50M	Indirect
Common Stock, par value $0.01 per share	7.29K	Indirect
Common Stock, par value $0.01 per share	207.12K	Indirect
Common Stock, par value $0.01 per share	37.92K	Direct
Common Stock, par value $0.01 per share	7.98K	Indirect
Total	2.79M	37.92K direct·2.75M indirect

Derivative Holdings1

Warrants (right to buy)

Indirect

Underlying security

Common Stock, par value $0.01 per share

Underlying shares

600K

Shares owned

N/A

Exercise price

.20

Expiration

—

Exercise window

—

Total

Underlying

600K

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Warrants (right to buy) Indirect	Common Stock, par value $0.01 per share	.20	—	—	600K	N/A
Total					600K	0.00