0001144204-15-072972.txt : 20151228 0001144204-15-072972.hdr.sgml : 20151225 20151228170409 ACCESSION NUMBER: 0001144204-15-072972 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151218 FILED AS OF DATE: 20151228 DATE AS OF CHANGE: 20151228 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RCS Capital Corp CENTRAL INDEX KEY: 0001568832 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 383894716 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 405 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212.415.6500 MAIL ADDRESS: STREET 1: 405 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROWN JEFFREY J CENTRAL INDEX KEY: 0001245377 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35924 FILM NUMBER: 151309854 MAIL ADDRESS: STREET 1: 19900 MACARTHUR BLVD STREET 2: SUITE 570 CITY: IRVINE STATE: CA ZIP: 92612 4 1 v427817_4.xml OWNERSHIP DOCUMENT X0306 4 2015-12-18 0 0001568832 RCS Capital Corp RCAP 0001245377 BROWN JEFFREY J C/O RCS CAPITAL CORPORATION 405 PARK AVE., 12TH FLOOR NEW YORK NY 10022 1 0 0 0 Common Stock 2015-12-18 4 D 0 3791 11.21 D 23346 D On December 18, 2015, the independent members of the board of directors approved the rescission of the 3,791 shares of restricted common stock initially granted to the reporting person on January 19, 2015 under the issuer's Equity Plan. /s/ Jeffrey J. Brown 2015-12-28