RCS Capital Corp Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2015-08-31: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; "11% convertible Series D-1 and D-2 preferred stock (""Series D-1 Preferred"" & ""Series D-2 Preferred""), including underlying Class A common stock issuable upon conversion"; Date of first sale 2015-08-19; Total offering amount $37,500,000.
- 2015-08-31: Federal exemption Rule 506(b); Types of securities offered Equity; "Class A Common Stock, par value $0.001 per share (""Class A Shares"")"; Date of first sale 2015-08-20; Total offering amount $16,701,225.
- 2015-08-26: Federal exemption Rule 506(b); Types of securities offered Equity; "Class A Common Stock, par value $0.001 per share (""Class A Shares"")"; Date of first sale 2015-08-13; Total offering amount $32,250,007.
- 2015-03-30: Federal exemption Rule 506(b); Types of securities offered Equity; Class A Common Stock; Date of first sale 2015-03-18; Total offering amount $6,346,510.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2015-08-31 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired; "11% convertible Series D-1 and D-2 preferred stock (""Series D-1 Preferred"" & ""Series D-2 Preferred""), including underlying Class A common stock issuable upon conversion" | 2015-08-19 | $37,500,000 | $37,500,000 | $0 | 4 |
| 2015-08-31 | Rule 506(b) | Equity; "Class A Common Stock, par value $0.001 per share (""Class A Shares"")" | 2015-08-20 | $16,701,225 | $16,701,225 | $0 | 1 |
| 2015-08-26 | Rule 506(b) | Equity; "Class A Common Stock, par value $0.001 per share (""Class A Shares"")" | 2015-08-13 | $32,250,007 | $32,250,007 | $0 | 14 |
| 2015-03-30 | Rule 506(b) | Equity; Class A Common Stock | 2015-03-18 | $6,346,510 | $6,346,510 | $0 | 4 |
| 2015-03-23 | Rule 506(b) | Equity; Class A Common Stock | 2015-03-11 | $26,774,456 | $26,774,456 | $0 | 97 |
| 2015-01-23 D/A | Rule 506(b) | Equity; Class A Common Stock | 2014-07-17 | $1,450,000 | $1,450,000 | $0 | 1 |
| 2015-01-23 D/A | Rule 506(b) | Equity; Class A common stock | 2014-06-12 | $15,650,000 | $4,860,000 | $10,790,000 | 3 |
| 2015-01-23 D/A | Rule 506(b) | Equity; Class A Common Stock, $0.001 par value | 2014-08-29 | $10,000,000 | $10,000,000 | $0 | 2 |
| 2014-10-08 | Rule 506(b) | Equity; Class A Common Stock, $0.001 par value | 2014-08-29 | $10,000,000 | $10,000,000 | $0 | 2 |
| 2014-07-30 | Rule 506(b) | Equity; Class A Common Stock | 2014-07-17 | $1,450,000 | $1,450,000 | $0 | 1 |
| 2014-06-30 | Rule 506(b) | Equity; Class A common stock | 2014-06-12 | $15,650,000 | $4,860,000 | $10,790,000 | 3 |
| 2014-05-13 | Rule 506(b) | Equity; Debt; SecurityToBeAcquired; Series A Convertible Preferred Stock; 5% Convertible Notes due 2021; underlying Class A Common Stock | 2014-04-29 | $390,000,000 | $390,000,000 | $0 | 5 |