SEC Form 4 · accession 0001144204-15-055516
RCS Capital Corp · RCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Lawrence Roth
Other
Period of report
Aug 25, 2015
Accepted (ET)
Sep 17, 2015 · 5:19 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 Stock | holding | — | — | — | 152,088 | D |
Table II — derivative securities
No Table II lines on this filing.
Remarks
The Reporting Person resigned from his position as a director of the issuer effective August 25, 2015. As a result, this Form 4 serves as his exit filing.