Latest filings (excl ownership)
15-12B
Securities registration termination
26 May 16
8-K
Bankruptcy or Receivership
25 May 16
8-K
Regulation FD Disclosure
4 May 16
RW
Registration withdrawal request
27 Apr 16
8-K
Regulation FD Disclosure
4 Apr 16
8-K
Regulation FD Disclosure
28 Mar 16
8-K
Entry into a Material Definitive Agreement
11 Feb 16
8-K
Departure of Directors or Certain Officers
10 Feb 16
8-K
Entry into a Material Definitive Agreement
4 Feb 16
8-K
Regulation FD Disclosure
1 Feb 16
8-K
Departure of Directors or Certain Officers
22 Jan 16
25-NSE
Exchange delisting
21 Jan 16
8-K
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard
8 Jan 16
8-K
Entry into a Material Definitive Agreement
6 Jan 16
8-K
As Part of Agreement, RCS Capital to Implement Prearranged Chapter 11 Filing
4 Jan 16
8-K
Departure of Directors or Certain Officers
7 Dec 15
8-K
Departure of Directors or Certain Officers
4 Dec 15
8-K
RCS Capital Corporation Provides Business Update
3 Dec 15
8-K
RCS Capital Corporation Announces Appointment of New General Counsel
30 Nov 15
8-K
Departure of Directors or Certain Officers
20 Nov 15
8-K/A
Submission of Matters to a Vote of Security Holders
20 Nov 15
8-K
Regulation FD Disclosure
17 Nov 15
8-K
RCS Capital Corporation Announces Third Quarter 2015 Operating Results From Continuing Operations
17 Nov 15
10-Q
2015 Q3
Quarterly report
16 Nov 15
8-K
RCS Capital Corporation Issues Statement
12 Nov 15
8-K
RCS Capital Corporation Receives a Continued Listing Standard Letter from the NYSE
12 Nov 15
NT 10-Q
Notice of late quarterly filing
10 Nov 15
8-K
Apollo Global Management and RCS Capital Enter into Amended Agreement for Sale of Wholesale Distribution Business
9 Nov 15
8-K
RCS Capital Provides Business Update
9 Nov 15
8-K
Unregistered Sales of Equity Securities
16 Oct 15
DEF 14C
Information statement
17 Sep 15
PRE 14C
Preliminary information
4 Sep 15
8-K
RCS Capital Corporation Announces Changes to Board of Directors
31 Aug 15
D
$37.5M in equity / options / securities to be acquired, sold $37.5M, 4 investors
31 Aug 15
D
$16.7M in equity, sold $16.7M, 1 investor
31 Aug 15
D
$32.25M in equity, sold $32.25M, 14 investors
26 Aug 15
8-K
Unregistered Sales of Equity Securities
21 Aug 15
8-K
Entry into a Material Definitive Agreement
20 Aug 15
8-K
Termination of a Material Definitive Agreement
14 Aug 15
8-K
Entry into a Material Definitive Agreement
12 Aug 15
Latest ownership filings
SC 13D/A
RCS Capital Corp
17 Feb 16
5
Annual statement of changes in insider ownership
16 Feb 16
SC 13G/A
RCS Capital Corp
16 Feb 16
SC 13D/A
RCS Capital Corp
11 Jan 16
SC 13D/A
RCS Capital Corp
11 Jan 16
3
BRADLEY E SCHER
7 Jan 16
4
Charles Thomas McMillen
28 Dec 15
4
MARK AUERBACH
28 Dec 15
4
Howell D Wood
28 Dec 15
4
JEFFREY J BROWN
28 Dec 15
4
WILLIAM M KAHANE
17 Nov 15
4
NICHOLAS S SCHORSCH
17 Nov 15
SC 13D/A
RCS Capital Corp
13 Nov 15
3
MICHAEL WILLIAM CONBOY
12 Nov 15
SC 13D/A
RCS Capital Corp
12 Nov 15
SC 13D/A
RCS Capital Corp
10 Nov 15
4
NICHOLAS S SCHORSCH
16 Oct 15
SC 13D/A
RCS Capital Corp
15 Oct 15
4
Change in insider ownership
9 Oct 15
SC 13D/A
RCS Capital Corp
2 Oct 15
4
R LAWRENCE ROTH
17 Sep 15
4
BRIAN L NYGAARD
17 Sep 15
4
Peter M Budko
17 Sep 15
SC 13D
RCS Capital Corp
17 Sep 15
SC 13D
RCS Capital Corp
17 Sep 15
4
Charles Thomas McMillen
28 Aug 15
4
Howell D Wood
28 Aug 15
4
JEFFREY J BROWN
28 Aug 15
4
MARK AUERBACH
28 Aug 15
4
WILLIAM M KAHANE
28 Aug 15
SC 13D
RCS Capital Corp
28 Aug 15
3
MARC J ROWAN
25 Aug 15
3
Anthony Civale
25 Aug 15
4
Change in insider ownership
21 Aug 15
SC 13D/A
RCS Capital Corp
21 Aug 15
4
NICHOLAS S SCHORSCH
18 Aug 15
4
Edward M Jr. Weil
14 Aug 15
4
Peter M Budko
14 Aug 15
4
Edward M Jr. Weil
12 Aug 15
SC 13D/A
RCS Capital Corp
12 Aug 15