| Symbol | Company | Owner | Relationship | Date | Transaction | Cost | # Shares | Value ($) | Total Shares | Filing | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 30, 2014 | Option Exercise | $23.00 | 86,956 | 1,999,988 | 0 | Nov 14, 2014, 07:52 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 30, 2014 | Option Exercise | $18.44 | 22,616,454 | 416,991,694 | 19,116,428 | Jul 02, 2014, 09:46 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 10, 2014 | Sale | $19.03 | 5,000,000 | 95,174,999 | 7,851,499 | Jun 19, 2014, 08:37 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Aug 19, 2013 | Buy | $16.18 | 2,000 | 32,367 | 51,500 | Aug 20, 2013, 02:27 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Aug 07, 2013 | Buy | $15.69 | 2,000 | 31,378 | 49,500 | Aug 07, 2013, 09:30 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 09, 2013 | Buy | $16.35 | 3,000 | 49,048 | 41,500 | Jul 12, 2013, 05:19 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 10, 2013 | Buy | $16.10 | 4,000 | 64,397 | 45,500 | Jul 12, 2013, 05:19 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 11, 2013 | Buy | $15.96 | 2,000 | 31,916 | 47,500 | Jul 12, 2013, 05:19 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 05, 2013 | Buy | $16.73 | 2,000 | 33,465 | 38,500 | Jul 09, 2013, 03:17 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 28, 2013 | Buy | $16.95 | 4,000 | 67,799 | 31,000 | Jul 09, 2013, 03:17 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 01, 2013 | Buy | $16.85 | 2,000 | 33,698 | 33,000 | Jul 09, 2013, 03:17 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 02, 2013 | Buy | $16.99 | 2,000 | 33,986 | 35,000 | Jul 09, 2013, 03:17 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jul 03, 2013 | Buy | $16.90 | 1,500 | 25,355 | 36,500 | Jul 09, 2013, 03:17 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 27, 2013 | Buy | $16.76 | 6,000 | 100,558 | 27,000 | Jun 28, 2013, 09:58 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 11, 2013 | Buy | $18.68 | 10,000 | 186,807 | 10,000 | Jun 28, 2013, 09:58 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 26, 2013 | Buy | $16.69 | 4,000 | 66,756 | 21,000 | Jun 28, 2013, 09:58 PM | |
| RCAP | RCS Capital Corp | RCAP Holdings, LLC | 10% Owner | Jun 21, 2013 | Buy | $17.60 | 7,000 | 123,201 | 7,000 | Jun 21, 2013, 04:32 PM |
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