SEC Form 4 · accession 0001144204-15-026168
RCS Capital Corp · RCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian D Jones
Officer — CFO & Ass. Secretary
Period of report
Mar 31, 2014
Accepted (ET)
Apr 29, 2015 · 9:56 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Mar 31, 2014 | A | 110,671 | $27.1074 | A | 121,671 | D | |
| Class A Common StockF2 | Mar 17, 2015 | F | 15,553 | $11.07 | D | 106,118 | D | |
| Class A Common StockF3 | Mar 31, 2015 | P | 390,585 | $11.6492 | A | 496,703 | 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 Restricted Share Plan. Restricted shares vest ratably over a four-year period beginning on March 31, 2015.
- F2Represents the amount of shares forfeited for applicable tax withholding requirements in connection with the vesting of restricted stock units granted in footnote 1 above.
- F3Restricted shares of common stock issued pursuant to the issuer's Restricted Share Plan. Restricted shares vest ratably over a four-year period beginning on March 31, 2016.