0001568832-15-000022.txt : 20150826 0001568832-15-000022.hdr.sgml : 20150826 20150826101600 ACCESSION NUMBER: 0001568832-15-000022 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20150826 DATE AS OF CHANGE: 20150826 EFFECTIVENESS DATE: 20150826 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: 021-246451 FILM NUMBER: 151074818 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 866-904-2988 DELAWARE None None Corporation true 2012 Edward M. Weil, Jr. 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Director Chief Executive Officer and Director Brian D. Jones 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Financial Officer and Secretary Brian L. Nygaard 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Operating Officer John H. Grady 405 Park Avenue New York NY NEW YORK 10022 Executive Officer Chief Strategy and Risk Officer Mark Auerbach 405 Park Avenue New York NY NEW YORK 10022 Director Non-Executive Chairman Peter M. Budko 405 Park Avenue New York NY NEW YORK 10022 Director Jeffrey J. Brown c/o RCS Capital Corp. 405 Park Avenue New York NY NEW YORK 10022 Director C. Thomas McMillen c/o RCS Capital Corp. 405 Park Avenue New York NY NEW YORK 10022 Director Howell D. Wood c/o RCS Capital Corp. 405 Park Avenue New York NY NEW YORK 10022 Director Marc Rowan Apollo Global Management, LLC 9 West 57th Street, 43rd Floor New York NY NEW YORK 10019 Director Anthony Civale Apollo Capital Management, LLC 9 West 57th Street, 43rd Floor New York NY NEW YORK 10019 Director Other Banking and Financial Services Decline to Disclose 06b false 2015-08-13 false true true Class A Common Stock, par value $0.001 per share ("Class A Shares") false Common stock issued as consideration in respect to agreement to terminate external management services agreement and related "put/call" agreement. 0 32250007 32250007 0 Aggregate stock consideration for 5,608,697 Class A Shares at agreed-to price of $5.75/share (based on market price prior to execution), of which 2,470,325 shares were issued on 1st issuance date & 3,138,372 shares will be issued on 2nd issuance date. false 14 0 0 0 false RCS Capital Corp /s/Edward M. Weil, Jr. Edward M. Weil, Jr. Chief Executive Officer & Director 2015-08-26