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RCS Capital Corp (RCAP) Create: Alert

All | News | Filings
Date FiledTypeDescription
05/26/2016 15-12B Form 15-12B - Securities registration termination [Section 12(b)]
05/25/2016 8-K Form 8-K - Current report
05/04/2016 8-K Form 8-K - Current report
04/27/2016 RW Form RW - Registration Withdrawal Request
04/04/2016 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "Monthly Operating Report for the month ended February 29, 2016"
03/28/2016 8-K Form 8-K - Current report
02/17/2016 SC 13D/A Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
02/16/2016 5 Form 5 - Annual statement of changes in beneficial ownership of securities
02/11/2016 8-K Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S...
Docs: "Superpriority Secured Debtor-in-Possession Term Loan Agreement, among RCS Capital Corporation, the lenders party thereto and Barclays Bank PLC, as administrative agent, collateral agent, sole syndication agent, sole book-runner and sole lead arranger"
02/10/2016 8-K Resignation/termination of a director
02/04/2016 8-K Form 8-K - Current report
02/01/2016 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "RCS Capital Corporation Provides Update on Ongoing Initiatives to Transform to Cetera-Only Independent Retail Business"
01/21/2016 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
01/08/2016 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
01/06/2016 8-K Appointed a new director
Docs: "First Lien Forbearance Agreement, among RCS Capital Corporation, the Loan Parties, the First Lien Lenders and Barclays PLC",
"Second Lien Forbearance Agreement, between the RCS Capital Corporation, the Loan Parties, the Second Lien Lenders and Bank of America, N.A",
"Luxor Convertible Notes Forbearance Agreement, among RCS Capital Corporation and the holders of the Luxor Convertible Notes",
"Senior Unsecured Promissory Notes Forbearance Agreement, among RCS Capital Corporation and Luxor Capital Partners, LP, Luxor Wavefront, LP, Luxor Capital Partners Offshore Master Fund, LP and Thebes Offshore Master Fund, LP"
01/04/2016 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "RCS Capital Corporation Announces Agreement in Principle with Majority of First- and Second-Lien Lenders to Establish Cetera Financial Group as Wholly-Owned by Restructured Privately-Held Company and Obtain a $150,000,000 New Investment"
12/28/2015 4 Form 4 - Statement of changes in beneficial ownership of securities
12/28/2015 4 BROWN JEFFREY J (Director) has filed a Form 4 on RCS Capital Corp
Txns: Disposed/sold 3,791 shares @ $11.21, valued at $42.5k
12/28/2015 4 Wood Howell D (Director) has filed a Form 4 on RCS Capital Corp
Txns: Disposed/sold 3,791 shares @ $11.21, valued at $42.5k
12/28/2015 4 AUERBACH MARK (Director) has filed a Form 4 on RCS Capital Corp
Txns: Disposed/sold 4,424 shares @ $11.3, valued at $50k
Disposed/sold 6,637 shares @ $11.3, valued at $75k
Disposed/sold 1,070 shares @ $11.21, valued at $12k
Disposed/sold 3,791 shares @ $11.21, valued at $42.5k
12/07/2015 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "Letter Agreement, between the Company and Brian D. Jones"
12/04/2015 8-K Resignation/termination of a director
12/03/2015 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "RCS Capital Corporation Provides Business Update"
11/30/2015 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "RCS Capital Corporation Announces Appointment of New General Counsel"
11/20/2015 8-K/A Submission of Matters to a Vote of Security Holders
11/20/2015 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
11/17/2015 4 KAHANE WILLIAM M (10% Owner) has filed a Form 4 on RCS Capital Corp
Txns: Acquired 1,000,000 convertible preferred @ $0
11/17/2015 4 SCHORSCH NICHOLAS S (10% Owner) has filed a Form 4 on RCS Capital Corp
Txns: Acquired 1,000,000 convertible preferred @ $0
11/17/2015 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "Lender Presentation"
11/16/2015 8-K Results of Operations and Financial Condition, Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "RCS Capital Corporation Announces Third Quarter 2015 Operating Results From Continuing Operations"
11/16/2015 10-Q Quarterly Report for the period ended September 30, 2015
11/12/2015 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "RCS Capital Corporation Issues Statement NEW YORK, November 12, 2015 – RCS Capital Corporation today issued the following statement: “RCS Capital is aware of the Massachusetts Securities Division’ s investigation and is fully cooperating with all relevant agencies. RCS Capital has received the complaint and is currently reviewing it. At this time, the Company has no further comment.” About RCS Capital RCS Capital Corporation is a full-service investment firm expressly focused on the individual retail investor. With operating subsidiaries including retail advice services, investment banking, capital markets, investment research, and, until the completion of recently announced pending sales, wholesale distribution and investment management, RCS Capital’ s business is designed to capitalize,..."
11/12/2015 8-K Resignation/termination of a director
Docs: "AMENDED AND RESTATED MEMBERSHIP INTEREST PURCHASE AGREEMENT",
"NOTE PURCHASE AND",
"NOTE PURCHASE AGREEMENT This NOTE PURCHASE AGREEMENT , dated as of November 8, 2015, is by and among the parties set forth on Annex A hereto , and RCS Capital Corporation, a Delaware corporation . WHEREAS, the parties desire to enter into this Agreement in respect of the purchase and issuance of the Luxor Notes as provided herein. NOW, THEREFORE, in consideration of the foregoing and the respective representations, warranties, covenants and agreements set forth below and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally bound, do hereby agree as follows: ARTICLE I NOTE PURCHASE 1.1. Purchase . On the terms and subject to the conditions set forth in this Agreement, at the Closing , the Company...",
"Series D-1 Shares Agreement, between AR Capital, LLC and RCS Capital Corporation",
"AR Capital",
"ARTICLE V",
"The Subsidiary Guarantors",
"Agreement, between RCS Capital Corporation and Edward M. Weil, Jr",
"RCS Capital Corporation Receives a Continued Listing Standard Letter from the NYSE"
11/09/2015 8-K Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "Apollo Global Management and RCS Capital Enter into Amended Agreement for Sale of Wholesale Distribution Business"
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