Accession Number: | 0001140361-14-034525 |
Date: | 2014-08-29 |
Issuer: | IMPERIAL HOLDINGS, INC. (IFT) |
Original Submission Date: |
GOLDSTEIN PHILLIP
C/O IMPERIAL HOLDINGS, INC.
701 PARK OF COMMERCE BLVD., SUITE 301
BOCA RATON, FL 33487
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |