Form4insider filings, from the source

SEC Form 4 · accession 0001140361-15-033101

RCS Capital Corp · RCAP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners
Period of report
Aug 19, 2015
Accepted (ET)
Aug 21, 2015 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001568832

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Class A common stock, par value $0.001 per shareF1,F2,F3holding———3,966,413IBy Luxor Capital Partners, LP
Class A common stock, par value $0.001 per shareF1,F2,F4holding———3,766,381IBy Luxor Capital Partners Offshore Master Fund, LP
Class A common stock, par value $0.001 per shareF1,F2,F5holding———84,979IBy Luxor Spectrum Offshore Master Fund, LP
Class A common stock, par value $0.001 per shareF1,F2,F6holding———696,376IBy Luxor Wavefront, LP
Class A common stock, par value $0.001 per shareF1,F2,F7holding———91,667IBy Separately Managed Account
Class A common stock, par value $0.001 per shareF1,F2,F8holding———169,607IBy Thebes Offshore Master Fund, LP
Class A common stock, par value $0.001 per shareF1,F2,F9holding———351,490IBy Blue Sands LLC
Class A common stock, par value $0.001 per shareF1,F2,F10holding———26,166IBy Blue Sands B Inc.
Class A common stock, par value $0.001 per shareF1,F2,F11holding———74,203IBy Blue Sands C Inc.
Class A common stock, par value $0.001 per shareF1,F2,F12holding———28,120IBy Blue Sands D Inc.

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
11% Series D-2 Convertible Preferred StockF1,F2,F3,F13,F14,F15,F16,F17,F18—Aug 19, 2015J278,320A——Class A common stock, par value $0.001 per share1,391,600278,320I
11% Series D-2 Convertible Preferred StockF1,F2,F4,F13,F14,F15,F16,F17,F18—Aug 19, 2015J204,360A——Class A common stock, par value $0.001 per share1,021,800204,360I
11% Series D-2 Convertible Preferred StockF1,F2,F8,F13,F14,F15,F16,F17,F18—Aug 19, 2015J17,320A——Class A common stock, par value $0.001 per share86,60017,320I

Explanation of responses