Form4insider filings, from the source

SEC Form 5 · accession 0001140361-16-053523

RCS Capital Corp · RCAP

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

Reporting owners
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 9:48 pm EST
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,F3,F4Jul 1, 2015J51,552—D4,776,492IBy Luxor Capital Partners, LP
Class A common stock, par value $0.001 per shareF1,F2,F3,F5Jul 1, 2015J118,055—D5,146,905IBy Luxor Capital Partners Offshore Master Fund, LP
Class A common stock, par value $0.001 per shareF1,F2,F3,F6Jul 1, 2015J169,607—A169,607IBy Thebes Offshore Master Fund, LP

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
5% convertible senior notesF1,F2,F7,F3,F4—Jul 1, 2015J—D——Class A common stock, par value $0.001 per share——I
5% convertible senior notesF1,F2,F7,F3,F5—Jul 1, 2015J—D——Class A common stock, par value $0.001 per share——I
5% convertible senior notesF1,F2,F7,F3,F6—Jul 1, 2015J—A——Class A common stock, par value $0.001 per share——I
7% Series C Convertible Prererred StockF1,F2,F11,F3,F4,F8,F9,F10$13.00Jul 1, 2015J22,362D——Class A common stock, par value $0.001 per share43,0041,599,074I
7% Series C Convertible Prererred StockF1,F2,F11,F3,F5,F8,F9,F10$13.00Jul 1, 2015J61,850D——Class A common stock, par value $0.001 per share118,9421,973,244I
7% Series C Convertible Prererred StockF1,F2,F11,F3,F6,F8,F9,F10$13.00Jul 1, 2015J84,212A——Class A common stock, par value $0.001 per share161,94684,212I

Explanation of responses