13G Filing: Indaba Capital Management and Emergent Capital, Inc. (EMG)


	(c)	[ ]		Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).


	(d)	[ ]		Investment company registered under section 8 of the Investment Company Act (15 U.S.C. 80a-8).


	(e)	[X]		An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).


	(f)	[ ]		An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F).


	(g)	[X]		A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G).


	(h)	[ ]		A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).


	(i)	[ ]		A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).


	(j)	[ ]		A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).


	(k)	[ ]		Group, in accordance with Rule 13d-1(b)(1)(ii)(K).


Item 4.	Ownership

(a)	Amount beneficially owned:

As of December 31, 2015, the Reporting Persons beneficially owned the shares of Common Stock referenced in Item 9 of the cover page pertaining to each Reporting Person and such Item 9 disclosure is incorporated herein by reference.

The shares of Common Stock beneficially owned by the Reporting Persons, other than the 6,359 shares of Common Stock directly held and beneficially owned by the Managing Member, are directly held by Indaba Capital Fund, L.P. (the “Fund”), a private investment fund for which the Investment Manager serves as investment manager. Pursuant to an Investment Management Agreement, the Fund and its general partner have delegated all voting and investment power over the shares of Common Stock directly held by the Fund to the Investment Manager.

(b) Percent of class:

Incorporated by reference to Item 11 of the cover page pertaining to each Reporting Person.

13G Filing: Indaba Capital Management and Emergent Capital, Inc. (EMG)

Published on March 3, 2016 at 1:01 pm by Meena Krishnamsetty in Hedge Funds

Page 6 of 9 SEC Filing

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