SECURITIES AND EXCHANGE COMMISSION
UNITED STATES
Washington, DC 20549
FORM8-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 27, 2016
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.) |
| |
5355 Town Center Road, Suite 701 Boca Raton, Florida | | 33486 |
| (Address of principal executive offices) | | (Zip Code) |
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 Form8-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 Rule14a-12 under the Exchange Act (17 CFR240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule14d-2(b) under the Exchange Act (17 CFR240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule13e-4(c) under the Exchange Act (17 CFR240.13e-4(c)) |
On December 27, 2016, Emergent Capital, Inc. (the “Company”) received notification from the United States Securities and Exchange Commission (the “SEC”) that it has concluded its investigation as to the Company and does not intend to recommend an enforcement action against the Company. The investigation has previously been disclosed in the Company’s quarterly and annual SEC filings. The notice was provided under the guidelines set out in the final paragraph of Securities Act Release No. 5310.
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.
December 28, 2016
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| EMERGENT CAPITAL, INC. |
(Registrant) |
| |
By: | | /s/ Christopher O’Reilly |
| | Christopher O’Reilly |
| | General Counsel and Secretary |
