Attached files
| file | filename |
|---|---|
| EX-99.1 - EXHIBIT 99.1 - EMERGENT CAPITAL, INC. | tm213058d1_ex99-1.htm |
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 of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
|
1200 N. Federal Highway, Suite 200, Boca Raton, Florida |
33432 | |||
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number including area code: (561) 995-4200
5355 Town Center Road, Suite 701, Boca
Raton, Florida 33486
(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:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transmission period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Securities registered pursuant to Section 12(b) of the Act: None
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| Item 7.01 | Regulation FD Disclosure. |
On January 13, 2021, Emergent Capital, Inc. (“Emergent” or the “Company”) posted Investor Frequently Asked Questions, dated January 12, 2021 (the “FAQs”) relating to its proposed restructuring at the restructuring section of its website at http://ir.emergentcapital.com/restructuring/4049, The FAQs are attached to this Current Report on Form 8-K as Exhibit 99.1.
| Item 9.01 | Financial Statements and Exhibits. |
| (d) Exhibits | EXHIBIT INDEX |
Exhibit
| No. | Description | |
| 99.1 | Investor Frequently Asked Questions dated January 12, 2021. |
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.
January 13, 2021
| EMERGENT CAPITAL, INC. | |
| (Registrant) | |
| By: |
/s/ Miriam Martinez |
|
Miriam Martinez | |
|
Chief Financial Officer | |