0001568832-14-000011.txt : 20140630 0001568832-14-000011.hdr.sgml : 20140630 20140630163559 ACCESSION NUMBER: 0001568832-14-000011 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20140630 DATE AS OF CHANGE: 20140630 EFFECTIVENESS DATE: 20140630 FILER: 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 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-220101 FILM NUMBER: 14949470 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 D 1 primary_doc.xml X0707 D LIVE 0001568832 RCS Capital Corp 405 PARK AVENUE NEW YORK NY NEW YORK 10022 212.415.6500 DELAWARE None None Corporation true 2012 Nicholas S. Schorsch RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Executive Chairman of Board of Directors William M Kahane RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Director Chief Executive Officer and Director Edward Michael Weil, Jr. RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Director President, Treasurer, Secretary and Director Peter M. Budko RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Director Chief Investment Officer and Director Brian D. Jones RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Financial Officer and Assistant Secretary Brian S. Block RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Mark Auerbach RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Jeffrey J. Brown RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director C. Thomas McMillen RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Howell D. Wood RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Brian Nygaard RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Operating Officer Other Banking and Financial Services Decline to Disclose 06b false 2014-06-12 true true true Class A common stock true Common stock issued in exchange for acquisition of outstanding membership interests. 0 N/A None None None N/A N/A XX Unknown None All States false 15650000 4860000 10790000 Includes: 239,362 Class A shares (value $4.86 mil) issued on 6/12/2014; additional $3.24 mil in Class A shares to be issued 6/12/2015; additional Class A shares (if any,up to a max aggregate amount $7.55 mil) as earn-out in 2015, 2016, 2017 false 3 0 0 0 false RCS Capital Corp /s/ William M. Kahane William M. Kahane Chief Executive Officer 2014-06-30