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EX-99.1 - EXHIBIT 99.1 - RCS Capital Corp | v408069_ex99-1.htm |
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): April 23, 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 April 23, 2015, RCS Capital Corporation (the “Company”) issued a press release announcing that it will host an investor call and webcast to discuss its first quarter 2015 financial results on Thursday, May 7, 2015 beginning at 11:00 a.m. E.T. The call will be conducted by Michael Weil, Chief Executive Officer of the Company, Brian D. Jones, Chief Financial Officer of the Company, 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 the Company.
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.
Such press release shall not be deemed “filed” for any purpose, including for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that Section. The information in this Item 7.01, as well as Exhibits 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 April 23, 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: April 23, 2015 | By: | /s/ Edward M. Weil, Jr. | ||
Name: | Edward M. Weil, Jr. | |||
Title: | Chief Executive Officer and Director |