UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
to
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): December 22, 2014
RCS Capital Corporation
(Exact Name of Registrant as Specified in Charter)
| Delaware | | 001-35924 | | 38-3894716 |
(State or other jurisdiction of incorporation) | | (Commission File Number) | | (I.R.S. Employer Identification No.) |
| |
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405 Park Avenue, 14th Floor New York, New York 10022 |
(Address, including zip code, of Principal Executive Offices) Registrant’s telephone number, including area code: (866) 904-2988 |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| | |
| o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 8.01. Other Events
Unaudited Pro Forma Consolidated Statements of Operations for the Nine Months Ended September 30, 2014 and for the Year Ended December 31, 2013 of RCS Capital Corporation (the “Updated Pro Formas”) is presented in Exhibit 99.1 to this Current Report on Form 8-K.
RCS Capital Corporation (the “Company”) is filing the Updated Pro Formas to update the unaudited pro forma consolidated financial information which was filed as part of the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 30, 2014.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
| Exhibit No. | | Description |
| 99.1 | | Unaudited Pro Forma Consolidated Statements of Operations for the Nine Months Ended September 30, 2014 and for the Year Ended December 31, 2013 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| | | RCS Capital Corporation |
| | | | |
Date: | December 22, 2014 | By: | /s/ EDWARD M. WEIL, JR. |
| | | | Edward M. Weil, Jr. |
| | | | Chief Executive Officer and Director |
