UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
 
FORM 8-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): May 29, 2018
 
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 Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions ( see General Instruction A.2. below):

o     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

☐ Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐






Item 8.01    Other Events.

On May 29, 2018, Emergent Capital, Inc. (the “Company”), announced that its common stock, par value $0.01 per share (the “Common Stock”), will move from the OTCQB® Venture Market to the OTCQX®
Best Market, commencing with the opening of trading on Tuesday, May 29, 2018. The Common Stock will continue to trade under the symbol "EMGC."
 
On May 29, 2018, the Company issued a press release announcing the listing change, a copy of which is attached hereto as Exhibit 99.1.

Item 9.01
Financial Statements and Exhibits.

(d) Exhibits.         EXHIBIT INDEX

Exhibit No.
 
Description
 
 
 
99.1
 


 





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.

 
 
EMERGENT CAPITAL, INC.
Dated: May 29, 2018
 
By:


/s/ Miriam Martinez

   
 
 
 
Miriam Martinez
Chief Financial Officer