0001144204-15-052806.txt : 20150828 0001144204-15-052806.hdr.sgml : 20150828 20150828213058 ACCESSION NUMBER: 0001144204-15-052806 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150818 FILED AS OF DATE: 20150828 DATE AS OF CHANGE: 20150828 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: Wood Howell D CENTRAL INDEX KEY: 0001595464 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35924 FILM NUMBER: 151083377 MAIL ADDRESS: STREET 1: C/O RCS CAPITAL CORPORATION STREET 2: 405 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 v419433_4.xml OWNERSHIP DOCUMENT X0306 4 2015-08-18 0 0001568832 RCS Capital Corp RCAP 0001595464 Wood Howell D C/O RCS CAPITAL CORPORATION 405 PARK AVE., 14TH FLOOR NEW YORK NY 10022 1 0 0 0 Common Stock 2015-08-18 4 A 0 15873 2.52 A 33093 D Restricted shares of common stock issued pursuant to the issuer's Equity Plan. Restricted shares vest ratably over a three-year period beginning on the first anniversary of the grant date. /s/ Howell D. Wood 2015-08-28