0001568832-15-000024.txt : 20150831 0001568832-15-000024.hdr.sgml : 20150831 20150831172107 ACCESSION NUMBER: 0001568832-15-000024 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20150831 DATE AS OF CHANGE: 20150831 EFFECTIVENESS DATE: 20150831 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: 021-246742 FILM NUMBER: 151085782 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 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 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 2015-08-19 false true true true true 11% convertible Series D-1 and D-2 preferred stock ("Series D-1 Preferred" & "Series D-2 Preferred"), including underlying Class A common stock issuable upon conversion false 0 37500000 37500000 0 Issued 1,000,000 Series D-1 Preferred shares ($25M in liquidation preference) incl Class A Stock upon conversion, to 1 investor, and 500,000 Series D-2 Preferred shares ($12.5M in liquidation preference) incl Class A Stock upon conversion, to 3 investors. false 4 0 0 0 false RCS Capital Corp /s/Edward M. Weil, Jr. Edward M. Weil, Jr. Chief Executive Officer & Director 2015-08-31