SEC Form 4/A · accession 0001144204-15-027101
RCS Capital Corp · RCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Brian D Jones
Officer — See remarks · Director
Period of report
Mar 31, 2015
Accepted (ET)
May 1, 2015 · 5:31 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, 2015 | A | 390,585 | — | A | 496,703 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4/A is being filed to amend the previously reported issuance of restricted shares of Class A Common Stock on March 31, 2015 to reflect the transaction with code "A" rather than transaction code "P" as reported on the Form 4 filed on April 29, 2015 (the "Original Form 4").
Remarks
Subsequent to the filing of the Original Form 4, on April 29, 2015, the reporting person also was appointed as a director of the company, as previously reported on a Current Report on Form 8-K filed on May 1, 2015.