RCS CAPITAL CORPORATION CLASS A COM (RCAPQ)

FINANCE: FINANCE
SIC: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES
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405 PARK AVENUE NEW YORK, NY 10022

RCS Capital Corporation, through its subsidiaries, engages in the wholesale broker-dealer, and investment banking and capital markets business activities. The company is involved in the wholesale distribution of publicly registered non-traded securities, including securities and exchange commission (SEC)-registered real estate investment trusts, and business development companies. It also provides strategic advisory services comprising advising sponsors in the structuring and development of new direct investment programs and registered investment funds and other products; advising sponsors and companies with respect to direct investment products; advising direct investment programs; and debt and equity capital raising advice services, as well as capital market advisory services. In addition, the company offers transaction management services, such as registration and continuous offering management services consisting of SEC registration, FINRA registration, and state registration process services; registered investment fund services; due diligence services; and marketing and promotional services. Further, it operates as a registrar; provides record-keeping services; and executes the transfer, issuance, and cancellation of shares or other securities in connection with offerings conducted by issuers.

View SEC Filings from RCAPQ instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
No data found for this quarter.
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding RCAPQ (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding RCAPQ BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

SCHER BRADLEY E

  • Director
0 2016-01-04 0

LUXOR CAPITAL GROUP, LP

LCG HOLDINGS LLC

LUXOR CAPITAL PARTNERS, LP

LUXOR CAPITAL PARTNERS OFFSHORE LTD

THEBES PARTNERS OFFSHORE, LTD.

  • 10% Owner
10,093,004 2015-12-31 0

MCMILLEN CHARLES THOMAS

  • Director
28,302 2015-12-18 0

AUERBACH MARK

  • Director
112,039 2015-12-18 0

WOOD HOWELL D

  • Director
29,302 2015-12-18 0

BROWN JEFFREY J

  • Director
23,346 2015-12-18 0

SCHORSCH NICHOLAS S

  • 10% Owner
0 2015-11-09 0

KAHANE WILLIAM M

  • 10% Owner
0 2015-11-09 0

CONBOY MICHAEL WILLIAM

  • Director
0 2015-11-08 0

LUXOR CAPITAL GROUP, LP

LUXOR CAPITAL PARTNERS, LP

LUXOR WAVEFRONT, LP

LUXOR SPECTRUM OFFSHORE LTD

LCG HOLDINGS LLC

LUXOR CAPITAL PARTNERS OFFSHORE LTD

THEBES OFFSHORE MASTER FUND, LP

THEBES PARTNERS OFFSHORE, LTD.

  • 10% Owner
11,495,402 2015-10-07 0

NYGAARD BRIAN L

  • FORMER EVP AND COO
No longer subject to file 2015-08-31 0

BUDKO PETER M

  • FORMER DIRECTOR
No longer subject to file 2015-08-27 0

ROTH R LAWRENCE

  • FORMER DIRECTOR
No longer subject to file 2015-08-25 0

LUXOR CAPITAL GROUP, LP

LUXOR CAPITAL PARTNERS, LP

LUXOR WAVEFRONT, LP

LUXOR CAPITAL PARTNERS OFFSHORE LTD

LUXOR SPECTRUM OFFSHORE LTD

THEBES PARTNERS OFFSHORE, LTD.

LCG HOLDINGS LLC

  • 10% Owner
9,255,402 2015-08-19 0

ROWAN MARC J

  • Director
0 2015-08-19 0

CIVALE ANTHONY

  • Director
0 2015-08-19 0

WEIL EDWARD M JR. CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
1,239,669 2015-08-13 0

LUXOR CAPITAL GROUP, LP

LUXOR CAPITAL PARTNERS OFFSHORE LTD

LUXOR CAPITAL PARTNERS, LP

LUXOR WAVEFRONT, LP

LCG HOLDINGS LLC

THEBES PARTNERS OFFSHORE, LTD.

  • 10% Owner
9,255,402 2015-08-06 0

GRADY JOHN HENRY CHIEF STR. & RISK OFF.

  • Officer
49,267 2015-04-29 0

LUXOR CAPITAL GROUP, LP

LUXOR CAPITAL PARTNERS OFFSHORE LTD

LUXOR CAPITAL PARTNERS, LP

LUXOR WAVEFRONT, LP

LCG HOLDINGS LLC

  • 10% Owner
8,495,402 2015-04-02 0

JONES BRIAN D SEE REMARKS

  • Officer
  • Director
496,703 2015-03-31 0

BLOCK BRIAN S

  • FORMER OFFICER AND DIRECTOR
No longer subject to file 2014-12-31 0

LUXOR CAPITAL GROUP, LP

LUXOR CAPITAL PARTNERS OFFSHORE LTD

LUXOR CAPITAL PARTNERS, LP

LUXOR WAVEFRONT, LP

LUXOR SPECTRUM OFFSHORE LTD

LCG HOLDINGS LLC

  • 10% Owner
8,952,312 2014-12-24 0

RCAP HOLDINGS, LLC

  • 10% Owner
1 2014-06-30 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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