SEC Form 3 · accession 0001144204-15-027098
RCS Capital Corp · RCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Henry Grady
Officer — Chief Str. & Risk Off.
Period of report
Apr 29, 2015
Accepted (ET)
May 1, 2015 · 5:30 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 | holding | — | — | — | 49,267 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 42,921 restricted 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.