SEC Form 4 · accession 0001144204-15-002828
RCS Capital Corp · RCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Auerbach
Director
Period of report
Jan 13, 2015
Accepted (ET)
Jan 20, 2015 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001568832
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 13, 2015 | A | 4,424 | $11.30 | A | 17,257 | D | |
| Common StockF1 | Jan 13, 2015 | A | 4,424 | $11.30 | A | 21,681 | D | |
| Common StockF1 | Jan 13, 2015 | A | 6,637 | $11.30 | A | 28,318 | D | |
| Common StockF1 | Jan 13, 2015 | A | 1,070 | $11.21 | A | 29,388 | D | |
| Common StockF1 | Jan 13, 2015 | A | 3,791 | $11.21 | A | 33,179 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted shares of common stock issued pursuant to the issuer's Equity Plan. Restricted shares vest ratably over a three-year period beginning on January 13, 2015.