Form Type: 4

SEC EDGAR Link
Accession Number:0001140361-14-034525
Date:2014-08-29
Issuer: IMPERIAL HOLDINGS, INC. (IFT)
Original Submission Date:

Reporting Person:

GOLDSTEIN PHILLIP
C/O IMPERIAL HOLDINGS, INC.
701 PARK OF COMMERCE BLVD., SUITE 301 BOCA RATON, FL 33487

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2014-08-29 P 1,400 a $6.59 94,554 direct
COMMON STOCK 2014-08-29 0 $0.00 1,099,092 indirect f1
COMMON STOCK 2014-08-29 0 $0.00 1,253,581 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the shares are held by various entities and individuals. bulldog investors, llc (f/k/a brooklyn capital management, llc) ("bi") or the reporting person has voting and investment power with respect to such shares. the reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
f2 the shares are held by certain private investment funds. bi has sole voting and investment power with respect to such shares. the reporting person is a principal of bi and of the general partners of each such investment fund, and is a limited partner in certain of such funds. the reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
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