Home > Insider Trading > Filing (0001144204-14-038644)

Filing Details

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 Ave., 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	Disposition	2014-06-10	5,000,000	$19.04	7,851,499	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Footnotes

In connection with the secondary offering (the "Secondary Offering") of Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"), of RCS Capital Corporation (the "Company") by certain selling shareholders pursuant to an underwriting agreement and final prospectus supplement, each dated June 5, 2014, RCAP Holdings, LLC, as a selling stockholder, sold 5,000,000 shares of Class A Common Stock of the Company. The price reported represents the $20.25 secondary public offering price per share of Common Stock, less the underwriting discount of $1.215 per share of Common Stock. The Secondary Offering closed on June 10, 2014.
On April 28, 2014, RCAP Holdings, LLC transferred 11,200,000 shares of Class A Common Stock previously held by RCAP Holdings, LLC to RCAP Equity, LLC. Control of both RCAP Equity, LLC and RCAP Holdings, LLC is exclusively vested in Messrs. Nicolas S. Schorsch and William M. Kahane, each of whom are managing members of RCAP Equity, LLC and RCAP Holdings, LLC.