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