Filing Details
- Accession Number:
- 0001144204-13-037321
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-28 22:58:32
- Reporting Period:
- 2013-06-11
- Filing Date:
- 2013-06-28
- Accepted Time:
- 2013-06-28 21:58:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1568832 | Rcs Capital Corp | RCAP | Security Brokers, Dealers & Flotation Companies (6211) | 383894716 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1578499 | Rcap Holdings, Llc | C/O Rcs Capital Corporation 405 Park Avenue, 15Th Floor New York NY 10022 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2013-06-11 | 10,000 | $18.68 | 10,000 | No | 4 | P | Direct | |
| Class A Common Stock | Acquisiton | 2013-06-26 | 4,000 | $16.69 | 21,000 | No | 4 | P | Direct | |
| Class A Common Stock | Acquisiton | 2013-06-27 | 6,000 | $16.76 | 27,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Footnotes
- Due to a clerical error, this transaction was incorrectly reported as being purchased directly by Nicholas S. Schorsch. Mr. Schorsch directly or indirectly owns equity interests in RCAP Holdings, LLC and is the executive chairman of RCS Capital Corporation. RCAP Holdings, LLC directly owns 100% of the reported securities.
- These transactions were executed in multiple trades at prices ranging from $18.59 to $18.80. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- These transactions were executed in multiple trades at prices ranging from $16.60 to $16.90. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- These transactions were executed in multiple trades at prices ranging from $16.70 to $16.80. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
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