AMENDMENT NO. 1 to THIRD AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF REALTY CAPITAL SECURITIES, LLC between RCS CAPITAL HOLDINGS, LLC, and RCAP HOLDINGS, LLC, Dated as of May 7, 2014 AMENDMENT NO. 1 TO THE THIRD AMENDED AND RESTATED...Limited Liability Company Agreement • August 14th, 2014 • RCS Capital Corp • Security brokers, dealers & flotation companies
This Amendment No. 1, dated as of May 7, 2014 (this “Amendment”), to the Third Amended and Restated Limited Liability Company Agreement of Realty Capital Securities, LLC (the “Company”), dated as of February 11, 2014 (the “Agreement”), is made and entered into between RCS CAPITAL HOLDINGS, LLC, a Delaware limited liability company (“Holdco”), and RCAP HOLDINGS, LLC, a Delaware limited liability company (“RCAP Holdings”).
AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • August 14th, 2014 • RCS Capital Corp • Security brokers, dealers & flotation companies • New York
This AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT, dated as of June 10, 2014 (this “Amendment”), is entered into by and among RCS Capital Corporation, a Delaware corporation (the “Company”), RCS Capital Holdings, LLC, a Delaware limited liability company (“Parent”) and each investor identified on the signature pages hereto (collectively, and together with the Company and Parent, the “Parties”).
ContractExchange Agreement • August 14th, 2014 • RCS Capital Corp • Security brokers, dealers & flotation companies • New York
SECOND AMENDMENT TO THE EXCHANGE AGREEMENT dated as of May 8, 2014 (this “Amendment”), between RCS Capital Corporation, a Delaware corporation (“RCS Capital”), and RCAP Holdings, LLC, a Delaware limited liability company (“RCAP Holdings”) (each of whom may be referred to herein as a “Party” and together as the “Parties”).
RCS Capital Corporation Scotland Acquisition, LLC New York, New York 10022Asset Purchase Agreement • August 14th, 2014 • RCS Capital Corp • Security brokers, dealers & flotation companies • New York
Reference is made to that certain Asset Purchase Agreement, dated as of October 1, 2013 (the “Purchase Agreement”), by and among Scotland Acquisition, LLC, a Delaware limited liability company (“Purchaser”), RCS Capital Corporation, a Delaware corporation (“Guarantor”), the persons named as principals on the signature pages thereto (collectively, “Principals”), Hatteras Investment Partners LLC, a Delaware limited liability company (“HIP”), Hatteras Investment Management LLC, a Delaware limited liability company, Hatteras Capital Investment Management, LLC, a Delaware limited liability company, Hatteras Alternative Mutual Funds LLC, a Delaware limited liability company, and Hatteras Capital Investment Partners, LLC, a Delaware limited liability company (each, a “Hatteras Seller,” and, collectively, “Hatteras Sellers”), and David Perkins, in his capacity as the sellers representative (the “Sellers’ Representative”). Purchaser, Guarantor, the Hatteras Sellers and the Sellers’ Representati
