SEC Form 4 · accession 0001144204-15-072964
RCS Capital Corp · RCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Auerbach
Director
Period of report
Dec 18, 2015
Accepted (ET)
Dec 28, 2015 · 5:02 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 | Dec 18, 2015 | D | 4,424 | $11.30 | D | 127,961 | D | |
| Common StockF1 | Dec 18, 2015 | D | 4,424 | $11.30 | D | 123,537 | D | |
| Common StockF1 | Dec 18, 2015 | D | 6,637 | $11.30 | D | 116,900 | D | |
| Common StockF1 | Dec 18, 2015 | D | 1,070 | $11.21 | D | 115,830 | D | |
| Common StockF1 | Dec 18, 2015 | D | 3,791 | $11.21 | D | 112,039 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 18, 2015, the independent members of the board of directors approved the rescission of the 20,346 shares of restricted common stock initially granted to the reporting person on January 13, 2015 under the issuer's Equity Plan.