RCS Capital Corp Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-11-09: Reporting owner KAHANE WILLIAM M; Form 4; Security Series D-1 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2015-11-09: Reporting owner SCHORSCH NICHOLAS S; Form 4; Security Series D-1 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2015-08-19: Reporting owner Luxor Capital Partners, LP | Thebes Partners Offshore, Ltd. | LCG HOLDINGS LLC | Luxor Capital Group, LP | LUXOR SPECTRUM OFFSHORE LTD | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP; Form 4; Security 11% Series D-2 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2015-08-19: Reporting owner Luxor Capital Partners, LP | Thebes Partners Offshore, Ltd. | LCG HOLDINGS LLC | Luxor Capital Group, LP | LUXOR SPECTRUM OFFSHORE LTD | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP; Form 4; Security 11% Series D-2 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-11-09 | KAHANE WILLIAM M 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By AR Capital, LLC | J Other acquisition or disposition (describe transaction) | +1,000,000 1,000,000 owned after | no price filed | 2015-11-17 | |
| 2015-11-09 | SCHORSCH NICHOLAS S 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By AR Capital, LLC | J Other acquisition or disposition (describe transaction) | +1,000,000 1,000,000 owned after | no price filed | 2015-11-17 | |
| 2015-08-19 | Luxor Capital Partners, LP | Thebes Partners Offshore, Ltd. | LCG HOLDINGS LLC | Luxor Capital Group, LP | LUXOR SPECTRUM OFFSHORE LTD | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 11% Series D-2 Convertible Preferred Stock Derivative · Indirect · By Luxor Capital Partners, LP | J Other acquisition or disposition (describe transaction) | +278,320 278,320 owned after | $25.00 | 2015-08-21 | |
| 2015-08-19 | Luxor Capital Partners, LP | Thebes Partners Offshore, Ltd. | LCG HOLDINGS LLC | Luxor Capital Group, LP | LUXOR SPECTRUM OFFSHORE LTD | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 11% Series D-2 Convertible Preferred Stock Derivative · Indirect · By Luxor Capital Partners Offshore Master Fund, LP | J Other acquisition or disposition (describe transaction) | +204,360 204,360 owned after | $25.00 | 2015-08-21 | |
| 2015-08-19 | Luxor Capital Partners, LP | Thebes Partners Offshore, Ltd. | LCG HOLDINGS LLC | Luxor Capital Group, LP | LUXOR SPECTRUM OFFSHORE LTD | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 11% Series D-2 Convertible Preferred Stock Derivative · Indirect · By Thebes Offshore Master Fund, LP | J Other acquisition or disposition (describe transaction) | +17,320 17,320 owned after | $25.00 | 2015-08-21 | |
| 2014-12-29 holding as of filing | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP | LUXOR SPECTRUM OFFSHORE LTD | LCG HOLDINGS LLC | Luxor Capital Group, LP | Luxor Capital Partners, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 7% Series C Convertible Preferred Stock Derivative · Indirect · By: Luxor Capital Partners, LP | Holding | $13.00 exercise price | 2014-12-29 | ||
| 2014-12-29 holding as of filing | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP | LUXOR SPECTRUM OFFSHORE LTD | LCG HOLDINGS LLC | Luxor Capital Group, LP | Luxor Capital Partners, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 7% Series C Convertible Preferred Stock Derivative · Indirect · By: Separately Managed Account | Holding | $13.00 exercise price | 2014-12-29 | ||
| 2014-12-29 holding as of filing | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP | LUXOR SPECTRUM OFFSHORE LTD | LCG HOLDINGS LLC | Luxor Capital Group, LP | Luxor Capital Partners, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 7% Series C Convertible Preferred Stock Derivative · Indirect · By: Luxor Capital Partners Offshore Master Fund, LP | Holding | $13.00 exercise price | 2014-12-29 | ||
| 2014-12-29 holding as of filing | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP | LUXOR SPECTRUM OFFSHORE LTD | LCG HOLDINGS LLC | Luxor Capital Group, LP | Luxor Capital Partners, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 7% Series C Convertible Preferred Stock Derivative · Indirect · By: Luxor Spectrum Offshore Master Fund, LP | Holding | $13.00 exercise price | 2014-12-29 | ||
| 2014-12-29 holding as of filing | LUXOR CAPITAL PARTNERS OFFSHORE LTD | Luxor Wavefront, LP | LUXOR SPECTRUM OFFSHORE LTD | LCG HOLDINGS LLC | Luxor Capital Group, LP | Luxor Capital Partners, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 7% Series C Convertible Preferred Stock Derivative · Indirect · By: Luxor Wavefront, LP | Holding | $13.00 exercise price | 2014-12-29 |