0001568832-14-000022.txt : 20141008 0001568832-14-000022.hdr.sgml : 20141008 20141008171339 ACCESSION NUMBER: 0001568832-14-000022 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20141008 DATE AS OF CHANGE: 20141008 EFFECTIVENESS DATE: 20141008 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: 021-226068 FILM NUMBER: 141148561 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 the Board of Directors Edward Michael Weil, Jr. RCS Capital Corp. 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Director Chief Executive Officer 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 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 Thomas C. 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 William M. Kahane RCS Capital Corp. 405 Park Avenue New York NY NEW YORK 10022 Director Other Banking and Financial Services Decline to Disclose 06b false 2014-08-29 true true true Class A Common Stock, $0.001 par value true Class A common stock issued as consideration in connection with the acquisition of all of issued and outstanding equity interests ("membership interests") of another company. 0 N/A None None None None None N/A XX Unknown None All States false 10000000 10000000 0 Includes issuance of 464,317 shares at initial closing date. Additional shares to be issued as earn-out amounts in 2015 and 2016 based on achievement of certain EBITDA performance targets. false 2 0 0 0 false RCS Capital Corp /s/Edward Michael Weil, Jr. Edward Michael Weil, Jr. Chief Executive Officer and Director 2014-10-08