SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(RULE 13D - 101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(Amendment No. 8)*
RCS Capital Corporation
(Name of Issuer)
Class A common stock, par value $0.001 per share
(Title of Class of Securities)
74937W102
(CUSIP Number)
Jamie Nash, Esq.
Kleinberg, Kaplan, Wolff & Cohen, P.C.
551 Fifth Avenue, New York, New York 10176
Tel: (212) 986-6000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
August 19, 2015
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ].
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Partners, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 9,290,503 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 9,290,503 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 9,290,503 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 11.2% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 3,264,504 Shares and 2,059,587 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Wavefront, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 2,123,285 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 2,123,285 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 2,123,285 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 2.7% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 875,067 Shares and 551,842 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Partners Offshore Master Fund, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 10,335,217 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 10,335,217 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 10,335,217 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 12.3% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 4,028,370 Shares and 2,540,465 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Partners Offshore, Ltd. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 10,335,217 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 10,335,217 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 10,335,217 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 12.3% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 4,028,370 Shares and 2,540,465 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person, other than the Offshore Master Fund, or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Spectrum Offshore Master Fund, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 589,219 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 589,219 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 589,219 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 309,197 Shares and 195,043 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Spectrum Offshore, Ltd. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 589,219 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 589,219 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 589,219 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 309,197 Shares and 195,043 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person, other than the Spectrum Master Fund, or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Thebes Offshore Master Fund, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 449,977 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 449,977 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 449,977 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 171,918 Shares and 108,451 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Thebes Partners Offshore, Ltd. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 449,977 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 449,977 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 449,977 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 171,918 Shares and 108,451 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person, other than the Thebes Master Fund, or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands LLC |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 351,490 |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 351,490 |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 351,490 |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (1) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| OO |
(1) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands B Inc. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 26,166 |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 26,166 |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 26,166 |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (1) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands C Inc. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 74,203 |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 74,203 |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 74,203 |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (1) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands D Inc. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 28,120 |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 28,120 |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 28,120 |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (1) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Calculated in accordance with the New Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| LCG Holdings, LLC |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 23,240,059 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 23,240,059 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 23,240,059 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 24.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| OO |
(1) Includes 8,649,056 Shares and 5,455,388 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Group, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF, OO |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 23,903,714 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 23,903,714 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 23,903,714 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 24.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 8,982,584 Shares and 5,665,728 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Management, LLC |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 23,903,714 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 23,903,714 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 23,903,714 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 24.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| OO |
(1) Includes 8,982,584 Shares and 5,665,728 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions. See Item 4 and 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Christian Leone |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| USA |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 23,903,714 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 23,903,714 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 23,903,714 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 24.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| IN |
(1) Includes 8,982,584 Shares and 5,665,728 Shares issuable upon the conversion of New Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the New Ownership Restrictions. See Item 4 and 5(a).
The following constitutes Amendment No. 8 to the Schedule 13D filed by the undersigned (“Amendment No. 8”). This Amendment No. 8 amends the Schedule 13D as specifically set forth herein.
Item 4. | Purpose of Transaction. |
Item 4 is hereby amended to add the following:
On August 19, 2015, pursuant to the terms of the Investment Agreement, certain of the Reporting Persons purchased 500,000 shares of the Series D-2 Preferred Stock (the “Luxor Shares”) for a purchase price of $12.5 million.
On August 19, 2015, certain of the Reporting Persons entered into a Registration Rights Agreement (the “Registration Rights Agreement”) with the Issuer, pursuant to which the Issuer has agreed to file a registration statement on or prior to October 5, 2015 for the purpose of registering the resale of (i) Luxor Shares, (ii) the Shares issuable upon conversion of the Luxor Shares and (iii) the Shares issued to certain of the Reporting Persons pursuant to the Termination Agreement.
The foregoing description of the terms and conditions of the Registration Rights Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of such document, which is attached as Exhibit 99.1 hereto, and is incorporated herein by reference.
Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
Item 6 is hereby amended to add the following:
Reference is made to the Registration Rights Agreement defined and described in Item 4 above, which is attached as Exhibit 99.1 hereto and incorporated herein by reference.
Item 7. | Material to be Filed as Exhibits. |
Item 7 is hereby amended to add the following exhibits:
99.1 Registration Rights Agreement dated August 19, 2015, by and among RCS Capital Corporation, Luxor Capital Partners, LP, Luxor Capital Partners Offshore Master Fund, LP, Thebes Offshore Master Fund, LP, Blue Sands LLC, Blue Sands B Inc., Blue Sands C Inc. and Blue Sands D Inc. (incorporated herein by reference to Exhibit 10.1 of RCS Capital Corporation’s Current Report on Form 8-K filed August 20, 2015) (File No. 001-35924)
99.2 Certificate of Designation for the 11.0% Series D-2 Preferred Stock filed August 19, 2015 (incorporated herein by reference to Exhibit 3.2 of RCS Capital Corporation’s Current Report on Form 8-K filed August 20, 2015) (File No. 001-35924)
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
Dated: August 21, 2015
| LUXOR CAPITAL PARTNERS, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR WAVEFRONT, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR CAPITAL PARTNERS OFFSHORE MASTER FUND, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR CAPITAL PARTNERS OFFSHORE, LTD. |
| | |
| By: | Luxor Capital Group, LP Investment Manager |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR SPECTRUM OFFSHORE MASTER FUND, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR SPECTRUM OFFSHORE, LTD. |
| | |
| By: | Luxor Capital Group, LP Investment Manager |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| THEBES OFFSHORE MASTER FUND, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| THEBES PARTNERS OFFSHORE, LTD. |
| | |
| By: | Luxor Capital Group, LP Investment Manager |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR CAPITAL GROUP, LP |
| | |
| By: | Luxor Management, LLC General Partner |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LCG HOLDINGS, LLC |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR MANAGEMENT, LLC |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| |
| NORRIS NISSIM, as Agent for Christian Leone |
| BLUE SANDS LLC |
| | |
| By: | LCG Holdings, LLC Managing Member |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| BLUE SANDS B INC. |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | Secretary |
| BLUE SANDS C INC. |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | Secretary |
| BLUE SANDS D INC. |
| | |
| By: | |
| | Name: | Norris Nissim |
| | Title: | Secretary |