Filing Details

Accession Number:
0001144204-15-026168
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-04-29 21:56:25
Reporting Period:
2014-03-31
Filing Date:
2015-04-29
Accepted Time:
2015-04-29 21:56:25
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
1543232 D Brian Jones C/o Rcs Capital Corporation
405 Park Avenue, 14Th Floor
New York NY 10022
Cfo & Ass. Secretary No Yes No 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 2014-03-31 110,671 $27.11 121,671 No 4 A Direct
Class A Common Stock Disposition 2015-03-17 15,553 $11.07 106,118 No 4 F Direct
Class A Common Stock Acquisiton 2015-03-31 390,585 $11.65 496,703 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 P Direct
Footnotes
  1. Restricted shares of common stock issued pursuant to the issuer's Restricted Share Plan. Restricted shares vest ratably over a four-year period beginning on March 31, 2015.
  2. Represents the amount of shares forfeited for applicable tax withholding requirements in connection with the vesting of restricted stock units granted in footnote 1 above.
  3. Restricted shares of common stock issued pursuant to the issuer's Restricted Share Plan. Restricted shares vest ratably over a four-year period beginning on March 31, 2016.