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 2, 2016
EMERGENT CAPITAL, INC.
(Exact name of registrant as specified in its charter)
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Florida
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001-35064
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30-0663473
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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5355 Town Center Road, Suite 701
Boca Raton, Florida
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33486
(Zip Code)
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(Address of principal executive offices)
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Registrant’s telephone number including area code: (561) 995-4200
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 5.07 Submission of Matters to a Vote of Security Holders
On June 2, 2016, Emergent Capital, Inc. (the “Company”) held its Annual Meeting of Shareholders. The results of matters submitted to a vote were as follows:
Proposal One – Election of Directors:
The shareholders elected each of the director nominees set forth below for a one-year term expiring at the next Annual Meeting of Shareholders. The shareholders voted as follows:
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Nominee
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Votes For
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Votes Withheld
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Broker Non-Votes
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James Chadwick
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16,655,476
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2,327,714
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5,471,268
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Michael Crow
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16,489,239
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2,493,951
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5,471,268
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Andrew Dakos
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16,446,319
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2,536,871
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5,471,268
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Phillip Goldstein
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16,517,107
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2,466,083
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5,471,268
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Gerald Hellerman
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15,504,548
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3,478,642
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5,471,268
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Antony Mitchell
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16,632,897
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2,350,293
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5,471,268
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Gilbert Nathan
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16,657,802
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2,325,388
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5,471,268
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Proposal Two - Advisory Vote on Executive Compensation.
The shareholders approved, on an advisory basis, the compensation of the Company’s named executive officers for the fiscal year ended December 31, 2015. The shareholders voted as follows:
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For
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Against
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Abstain
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Broker Non-Votes
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15,741,391
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1,219,724
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2,022,075
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5,471,268
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Proposal Three – Ratification of Appointment of Independent Registered Public Accountant.
The selection of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016 was ratified by shareholders. The shareholders voted as follows:
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For
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Against
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Abstain
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23,596,392
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813,062
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45,004
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
June 6, 2016
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EMERGENT CAPITAL, INC.
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(Registrant)
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By:
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/s/ Christopher O’Reilly
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Christopher O’Reilly
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General Counsel and Secretary
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