0001144204-15-026168.txt : 20150429 0001144204-15-026168.hdr.sgml : 20150429 20150429215625 ACCESSION NUMBER: 0001144204-15-026168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20150429 DATE AS OF CHANGE: 20150429 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: Jones Brian D CENTRAL INDEX KEY: 0001543232 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35924 FILM NUMBER: 15814902 MAIL ADDRESS: STREET 1: 405 PARK AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 v408824_4.xml OWNERSHIP DOCUMENT X0306 4 2014-03-31 0 0001568832 RCS Capital Corp RCAP 0001543232 Jones Brian D C/O RCS CAPITAL CORPORATION 405 PARK AVENUE, 14TH FLOOR NEW YORK NY 10022 0 1 0 0 CFO & Ass. Secretary Class A Common Stock 2014-03-31 4 A 0 110671 27.1074 A 121671 D Class A Common Stock 2015-03-17 4 F 0 15553 11.07 D 106118 D Class A Common Stock 2015-03-31 4 P 0 390585 11.6492 A 496703 D 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. 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. 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. /s/ Brian D. Jones 2015-04-29