Filing Details
- Accession Number:
- 0001144204-15-026168
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-29 21:56:25
- Reporting Period:
- 2014-03-31
- Filing Date:
- 2015-04-29
- Accepted Time:
- 2015-04-29 21:56:25
- 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 |
|---|---|---|---|---|---|---|---|
| 1543232 | D Brian Jones | C/O Rcs Capital Corporation 405 Park Avenue, 14Th Floor New York NY 10022 | Cfo & Ass. Secretary | No | Yes | No | 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 | 2014-03-31 | 110,671 | $27.11 | 121,671 | No | 4 | A | Direct | |
| Class A Common Stock | Disposition | 2015-03-17 | 15,553 | $11.07 | 106,118 | No | 4 | F | Direct | |
| Class A Common Stock | Acquisiton | 2015-03-31 | 390,585 | $11.65 | 496,703 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | P | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
