0001568832-14-000004.txt : 20140513 0001568832-14-000004.hdr.sgml : 20140513 20140513163300 ACCESSION NUMBER: 0001568832-14-000004 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20140513 DATE AS OF CHANGE: 20140513 EFFECTIVENESS DATE: 20140513 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: 021-217307 FILM NUMBER: 14837800 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 Executive Officer 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 M 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 Lead Independent Director Jeffrey J Brown RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Independent Director C. Thomas McMillen RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Independent Director Howell D Wood RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Independent Director Brian Nygaard RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Operating Officer REITS and Finance Decline to Disclose 06b false 2014-04-29 false true true true true Series A Convertible Preferred Stock; 5% Convertible Notes due 2021; underlying Class A Common Stock false 0 390000000 390000000 0 $270,000,000 of Preferred Shares and $120,000,000 of Notes. false 5 0 0 0 false RCS Capital Corp /s/William M. Kahane William M. Kahane Chief Executive Officer 2014-05-13