Filing Details

Accession Number:
0001144204-14-009536
Form Type:
5
Zero Holdings:
No
Publication Time:
2014-02-14 14:48:20
Reporting Period:
2013-12-31
Filing Date:
2014-02-14
Accepted Time:
2014-02-14 14:48:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1568832 Rcs Capital Corp RCAP Security Brokers, Dealers & Flotation Companies (6211) 383894716
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1248577 S Nicholas Schorsch C/o Rcs Capital Corporation
405 Park Avenue, 15Th Floor
New York NY 10022
Exec Chairman Of Board Of Dir. Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2013-06-11 10,000 $18.68 10,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-06-21 7,000 $17.60 17,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-06-26 4,000 $16.69 21,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-06-27 6,000 $16.76 27,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-06-28 4,000 $16.95 31,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-01 2,000 $16.85 33,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-02 2,000 $16.99 35,000 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-03 1,500 $16.90 36,500 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-05 2,000 $16.73 38,500 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-09 3,000 $16.35 41,500 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-10 4,000 $16.10 45,500 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-07-11 2,000 $15.96 47,500 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-08-07 200 $15.64 47,700 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-08-07 200 $15.65 47,900 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-08-07 1,600 $15.70 49,500 No 4 P Indirect See footnote
Class A Common Stock Acquisiton 2013-08-19 2,000 $16.18 51,500 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
Footnotes
  1. These transactions were executed in multiple trades at prices ranging from $18.59 to $18.80. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  2. The securities are held by RCAP Holdings, LLC, a manager-managed limited liability company. The Reporting Person is a manager and member of RCAP Holdings, LLC and disclaims pecuniary interest in the reported securities except to the extent of his economic interest therein.
  3. These transactions were executed in multiple trades at prices ranging from $17.45 to $17.66. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  4. These transactions were executed in multiple trades at prices ranging from $16.60 to $16.90. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  5. These transactions were executed in multiple trades at prices ranging from $16.70 to $16.80. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  6. These transactions were executed in multiple trades at prices ranging from $16.84 to $16.99. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  7. These transactions were executed in multiple trades at prices ranging from $16.95 to $17.05. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  8. These transactions were executed in multiple trades at prices ranging from $16.85 to $17.01. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  9. These transactions were executed in multiple trades at prices ranging from $16.03 to $16.35. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.