UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):July 20, 2015
RCS Capital Corporation
(Exact name of registrant as specified in its charter)
| Delaware | | 001-35924 | | 38-3894716 |
| | | | | |
(State or other jurisdiction
of incorporation) | | (Commission File Number) | | (IRS Employer
Identification No.) |
405 Park Ave., 14th Floor
New York, NY | | 10022 |
| | | |
| (Address of principal executive offices) | | (Zip Code) |
(866) 904-2988
(Registrant’s telephone number, including area code)
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:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 7.01. Regulation FD Disclosure.
On July 20, 2015, RCS Capital Corporation (the “Company”) issued a press release announcing that it will release its financial results for the second quarter of 2015 on Thursday, August 6, 2015 prior to the opening of the market. The Company will host an earnings conference call reviewing these results and its operations the same day on Thursday, August 6, 2015 beginning at 8:30 a.m. E.T.
Participating on the call will be Michael Weil, Chief Executive Officer of RCS Capital, Brian D. Jones, Chief Financial Officer of RCS Capital, Lawrence “Larry” Roth, Chief Executive Officer of Cetera Financial Group, Bill Dwyer, Chief Executive Officer of Realty Capital Securities, LLC, and Andrew Backman, Managing Director, Investor Relations and Public Relations for RCS Capital.
A copy of the press release announcing the foregoing is attached to this Current Report on Form 8-K as Exhibit 99.1 and is incorporated by reference herein.
The information furnished under this Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.1, shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), as amended, or otherwise subject to the liabilities of that Section. The information in this Item 7.01, including Exhibit 99.1, shall not be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act regardless of any general incorporation language in such filing.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No. | | Description |
| | | |
| 99.1 | | Press Release, dated July 20, 2015 |
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 hereunto duly authorized.
| | | RCS Capital Corporation | |
| | | | | |
| | | | | |
| Date: July 20, 2015 | | By: | /s/ EdwardM. Weil, Jr. | |
| | | Name: | EdwardM. Weil, Jr. | |
| | | Title: | Chief Executive Officer and Director | |
