0001140361-15-014244.txt : 20150402
0001140361-15-014244.hdr.sgml : 20150402
20150402215150
ACCESSION NUMBER: 0001140361-15-014244
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150402
FILED AS OF DATE: 20150402
DATE AS OF CHANGE: 20150402
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: LCG HOLDINGS LLC
CENTRAL INDEX KEY: 0001270742
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35924
FILM NUMBER: 15750107
BUSINESS ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-763-8000
MAIL ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Luxor Capital Group, LP
CENTRAL INDEX KEY: 0001316580
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35924
FILM NUMBER: 15750111
BUSINESS ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-763-8000
MAIL ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LUXOR CAPITAL PARTNERS OFFSHORE LTD
CENTRAL INDEX KEY: 0001356913
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35924
FILM NUMBER: 15750110
BUSINESS ADDRESS:
STREET 1: C/O M&C CORPORATE SVCS LTD
STREET 2: PO BOX 309 GT UGLAND HOUSE
CITY: GEORGE TOWN
STATE: E9
ZIP: 00000
BUSINESS PHONE: 2127638000
MAIL ADDRESS:
STREET 1: C/O M&C CORPORATE SVCS LTD
STREET 2: PO BOX 309 GT UGLAND HOUSE
CITY: GEORGE TOWN
STATE: E9
ZIP: 00000
FORMER NAME:
FORMER CONFORMED NAME: LUXOR CAPITAL PARNTERS OFFSHORE LTD
DATE OF NAME CHANGE: 20060321
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Luxor Capital Partners, LP
CENTRAL INDEX KEY: 0001393021
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35924
FILM NUMBER: 15750109
BUSINESS ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: (212) 763-8000
MAIL ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Luxor Wavefront, LP
CENTRAL INDEX KEY: 0001479129
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35924
FILM NUMBER: 15750108
BUSINESS ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: (212) 763-8000
MAIL ADDRESS:
STREET 1: 1114 AVENUE OF THE AMERICAS
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
4
1
doc1.xml
FORM 4
X0306
4
2015-04-02
0
0001568832
RCS Capital Corp
RCAP
0001316580
Luxor Capital Group, LP
1114 AVENUE OF THE AMERICAS
29TH FLOOR
NEW YORK
NY
10036
0
0
1
0
0001356913
LUXOR CAPITAL PARTNERS OFFSHORE LTD
C/O M&C CORPORATE SVCS LTD
PO BOX 309 GT UGLAND HOUSE
GEORGE TOWN
E9
00000
CAYMAN ISLANDS
0
0
1
0
0001393021
Luxor Capital Partners, LP
1114 AVENUE OF THE AMERICAS
29TH FLOOR
NEW YORK
NY
10036
0
0
1
0
0001479129
Luxor Wavefront, LP
1114 AVENUE OF THE AMERICAS
29TH FLOOR
NEW YORK
NY
10036
0
0
1
0
0001270742
LCG HOLDINGS LLC
1114 AVENUE OF THE AMERICAS
29TH FLOOR
NEW YORK
NY
10036
0
0
1
0
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
92100
10.7868
D
200147
I
By Separately Managed Account
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
30600
10.7474
D
169547
I
By Separately Managed Account
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
20300
10.4250
D
149247
I
By Separately Managed Account
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
300
10.8367
D
148947
I
By Separately Managed Account
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
57280
10.5292
D
91667
I
By Separately Managed Account
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
32300
10.7868
D
734461
I
By Luxor Wavefront, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
10710
10.7474
D
723751
I
By Luxor Wavefront, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
7100
10.4250
D
716651
I
By Luxor Wavefront, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
100
10.8367
D
716551
I
By Luxor Wavefront, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
20175
10.5292
D
696376
I
By Luxor Wavefront, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
85300
10.7868
D
185624
I
By Luxor Spectrum Offshore Master Fund, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
28400
10.7474
D
157224
I
By Luxor Spectrum Offshore Master Fund, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
18800
10.4250
D
138424
I
By Luxor Spectrum Offshore Master Fund, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
200
10.8367
D
138224
I
By Luxor Spectrum Offshore Master Fund, LP
Class A common stock, par value $0.001 per share
2015-04-02
4
S
0
53245
10.5292
D
84979
I
By Luxor Spectrum Offshore Master Fund, LP
Class A common stock, par value $0.001 per share
3737944
I
By Luxor Capital Partners, LP
Class A common stock, par value $0.001 per share
3884436
I
By Luxor Capital Partners Offshore Master Fund, LP
This Form 4 is filed jointly by Luxor Capital Group, LP ("Luxor Capital Group"), Luxor Capital Partners, LP ("Onshore Fund"), Luxor Capital Partners Offshore, Ltd. ("Offshore Feeder Fund"), Luxor Spectrum Offshore, Ltd. ("Spectrum Feeder Fund"), Luxor Wavefront, LP ("Wavefront Fund"), LCG Holdings, LLC ("LCG Holdings"), Luxor Management, LLC ("Luxor Management") and Christian Leone (collectively, the "Reporting Persons").
Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein.
Shares owned directly by Onshore Fund. Each of LCG Holdings and Luxor Capital Group, as the general partner and investment manager, respectively, of Onshore Fund, may be deemed to beneficially own the shares of Common Stock owned directly by Onshore Fund. Luxor Management, as the general partner of Luxor Capital Group, and Christian Leone, as the managing member of each of LCG Holdings and Luxor Management, may be deemed to beneficially own the shares of Common Stock owned directly by Onshore Fund.
Shares held in an account separately managed by Luxor Capital Group (the "Separately Managed Account"). Luxor Capital Group, as the investment manager of the Separately Managed Account, may be deemed to beneficially own the shares of Common Stock held in the Separately Managed Account. Luxor Management, as the general partner of Luxor Capital Group, and Christian Leone, as the managing member of Luxor Management, may be deemed to beneficially own the shares of Common Stock held in the Separately Managed Account.
Shares owned directly by Luxor Capital Partners Offshore Master Fund, LP ("Offshore Master Fund"). Offshore Feeder Fund, as the owner of a controlling interest in Offshore Master Fund, may be deemed to beneficially own the shares of Common Stock owned directly by Offshore Master Fund. Each of LCG Holdings and Luxor Capital Group, as the general partner and investment manager, respectively, of Offshore Master Fund, may be deemed to beneficially own the shares of Common Stock owned directly by Offshore Master Fund. Luxor Management, as the general partner of Luxor Capital Group, and Christian Leone, as the managing member of each of LCG Holdings and Luxor Management, may be deemed to beneficially own the shares of Common Stock owned directly by Offshore Master Fund.
Shares owned directly by Wavefront Fund. Each of LCG Holdings and Luxor Capital Group, as the general partner and investment manager, respectively, of Wavefront Fund, may be deemed to beneficially own the shares of Common Stock owned directly by Wavefront Fund. Luxor Management, as the general partner of Luxor Capital Group, and Christian Leone, as the managing member of each of LCG Holdings and Luxor Management, may be deemed to beneficially own the shares of Common Stock owned directly by Wavefront Fund.
Shares owned directly by Luxor Spectrum Offshore Master Fund, LP ("Spectrum Master Fund"). Spectrum Feeder Fund, as the owner of a controlling interest in Spectrum Master Fund, may be deemed to beneficially own the shares of Common Stock owned directly by Spectrum Master Fund. Each of LCG Holdings and Luxor Capital Group, as the general partner and investment manager, respectively, of Spectrum Master Fund, may be deemed to beneficially own the shares of Common Stock owned directly by Spectrum Master Fund. Luxor Management, as the general partner of Luxor Capital Group, and Christian Leone, as the managing member of each of LCG Holdings and Luxor Management, may be deemed to beneficially own the shares of Common Stock owned directly by Spectrum Master Fund.
Norris Nissim, Counsel of Luxor Management, LLC, General Partner of Luxor Capital Group, LP
2015-04-02