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Filing Details

Accession Number:: 0001140361-15-006843
Form Type:: 5
Zero Holdings:: No
Publication Time:: 2015-02-17 10:30:27
Reporting Period:: 2014-12-31

Filing Date:: 2015-02-17
Accepted Time:: 2015-02-17 10:30:27
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1494448	Imperial Holdings Inc.	IFT	Life Insurance (6311)	300663473

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1067621	Phillip Goldstein	C/O Imperial Holdings, Inc. 5355 Town Center Road, Suite 701 Boca Raton FL 33486		Yes	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-03-31	13,000	$5.75	130,426	No	4	P	Direct
Common Stock	Acquisiton	2014-08-08	4,241	$6.48	130,426	No	4	P	Direct
Common Stock	Acquisiton	2014-03-31	5,000	$5.75	1,121,792	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2014-08-11	200	$6.46	1,121,792	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2014-09-19	300	$6.36	1,121,792	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Direct
No	4	P	Indirect	See Footnote
No	4	P	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,253,581	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Senior Convertible Notes	$6.76	2014-02-21	2019-02-15	932,249	6,302	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2019-02-15	932,249	6,302	Indirect

Footnotes

The Reporting Person's Form 4 filed on April 1, 2014 incorrectly reported that on March 31, 2014, 18,000 shares had been purchased for accounts in which the Reporting Person has a Direct ownership interest. The correct amount of shares purchased for such accounts on such date is 13,000. The remaining 5,000 reported shares were purchased for accounts in which the Reporting Person has an Indirect ownership interest. The first line item herein reflects the correct number of shares (13,000) that should have been reported as having been purchased by accounts in which the Reporting Person has a Direct interest. The third line item herein reflects the number of shares (5,000) that should have been reported as having been purchased by accounts in which the Reporting Person has an Indirect interest.
The Reporting Person's Form 4 filed on August 11, 2014 incorrectly reported that on August 8, 2014, 5,759 shares had been purchased. The correct number of shares purchased on such date is 10,000 shares. This line item reflects the number of shares (4,241) not previously reported.
The shares are held by various entities and individuals. Bulldog Investors, 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.
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.
These totals do not include 2,941 notes that are owned by BI's Special Opportunities Fund, since the Reporting Person has no pecuniary interest therein.