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10-K
10-Q
8-K
3,4,5
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Director departure
Appointed director
Inv. presentation
Quarterly results
Acq. announced
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RCS Capital Corp (RCAP)
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All | News | Filings
| Date Filed | Type | Description |
| 05/25/2016 |
8-K
| Form 8-K - Current report |
| 05/04/2016 |
8-K
| Form 8-K - Current report |
| 04/04/2016 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 03/28/2016 |
8-K
| Form 8-K - Current report |
| 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... |
| 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 |
| 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:
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"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" |
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| 01/04/2016 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 12/07/2015 |
8-K
| Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements... |
| 12/04/2015 |
8-K
| Resignation/termination of a director |
| 12/03/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 11/30/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 11/20/2015 |
8-K
| Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements... |
| 11/17/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 11/16/2015 |
8-K
| Results of Operations and Financial Condition, Regulation FD Disclosure, Financial Statements and Exhibits |
| 11/12/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits|
Docs:
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"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,..." |
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| 11/12/2015 |
8-K
| Resignation/termination of a director|
Docs:
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"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" |
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| 11/09/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 11/09/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 10/16/2015 |
8-K
| Unregistered Sales of Equity Securities |
| 08/31/2015 |
8-K
| Resignation/termination of a director |
| 08/21/2015 |
8-K
| Unregistered Sales of Equity Securities |
| 08/20/2015 |
8-K
| Entry into a Material Definitive Agreement, Material Modifications to Rights of Security Holders, Departure of Directors or C...|
Docs:
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"Amendment No. 1 to the Membership Interest Purchase Agreement dated August 19, 2015, by and among RCS Capital Corporation, RCS Capital Holdings, LLC and Apollo Management Holdings, L.P",
"Certificate of Designation for the 11% Series D-1 Preferred Stock",
"Certificate of Designation for the 11% Series D-2 Preferred Stock",
"Registration Rights Agreement dated August 19, 2015, by and among RCS Capital Corporation, Luxor Capital Partners, LP and the other parties thereto",
"Registration Rights Agreement dated August 19, 2015, by and among RCS Capital Corporation and Apollo Principal Holdings I, L.P",
"RCS Capital Corporation Announces Closing of Preferred Stock Issuance and Introduction of Enhanced Corporate Governance Initiatives" |
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| 08/14/2015 |
8-K
| Termination of a Material Definitive Agreement, Financial Statements and Exhibits |
| 08/12/2015 |
8-K
| Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits |
| 08/06/2015 |
8-K
| Investor presentation |
| 08/06/2015 |
8-K
| Other Events, Financial Statements and Exhibits |
| 07/20/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 07/06/2015 |
8-K
| Regulation FD Disclosure, Financial Statements and Exhibits |
| 06/30/2015 |
8-K
| Entry into a Material Definitive Agreement, Regulation FD Disclosure, Financial Statements and Exhibits|
Docs:
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"Amendment No. 1, to the First Lien Credit Agreement, among RCS Capital Corporation, as borrower, Barclays Bank PLC, as administrative agent and collateral agent, and the other lender and guarantor parties thereto",
"Amendment No. 1, to Second First Lien Credit Agreement, among RCS Capital Corporation, as borrower, Bank of America, N.A., as administrative agent and collateral agent, and the other lender and guarantor parties thereto",
"RCS Capital and its Lenders Agree to Covenant Modifications" |
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