0001144204-15-072976.txt : 20151228
0001144204-15-072976.hdr.sgml : 20151225
20151228170513
ACCESSION NUMBER: 0001144204-15-072976
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: McMillen Charles Thomas
CENTRAL INDEX KEY: 0001332108
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35924
FILM NUMBER: 151309868
MAIL ADDRESS:
STREET 1: 1103 SOUTH CAROLINA AVENUE
CITY: WASHINGTON
STATE: DC
ZIP: 20003
4
1
v427818_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-12-18
0
0001568832
RCS Capital Corp
RCAP
0001332108
McMillen Charles Thomas
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
28302
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 13, 2015 under the issuer's Equity Plan.
/s/ C. Thomas McMillen
2015-12-28