0001568832-15-000002.txt : 20150123 0001568832-15-000002.hdr.sgml : 20150123 20150123171448 ACCESSION NUMBER: 0001568832-15-000002 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20150123 DATE AS OF CHANGE: 20150123 EFFECTIVENESS DATE: 20150123 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/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-220101 FILM NUMBER: 15546368 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/A 1 primary_doc.xml X0707 D/A LIVE 0001568832 RCS Capital Corp 405 PARK AVENUE NEW YORK NY NEW YORK 10022 212.415.6500 DELAWARE None None Corporation true 2012 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 Director Director Brian D. Jones RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Financial Officer and Assistant Secretary Mark Auerbach RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director Chairman of the Board of Directors Jeffrey J. Brown RCS Capital Corp 405 Park Avenue New York NY NEW YORK 10022 Director C. Thomas 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 Other Banking and Financial Services Decline to Disclose 06b true 0001568832-14-000011 2014-06-12 true true true Class A common stock true Common stock issued in exchange for acquisition of outstanding membership interests. 0 N/A None None None N/A N/A XX Unknown None All States false 15650000 4860000 10790000 Includes: 239,362 Class A shares (value $4.86 mil) issued on 6/12/2014; additional $3.24 mil in Class A shares to be issued 6/12/2015; additional Class A shares (if any,up to a max aggregate amount $7.55 mil) as earn-out in 2015, 2016, 2017 false 3 0 0 0 false RCS Capital Corp /s/Edward Michael Weil, Jr. Edward Michael Weil, Jr. Chief Executive Officer and Director 2015-01-23