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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

Show Other Fields >>

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

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.
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.
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.
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.
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.
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.
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.
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.
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.