RCS CAPITAL CORPORATION 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENTMulti-Year Outperformance Agreement • August 2nd, 2013 • RCS Capital Corp • Security brokers, dealers & flotation companies • Delaware
This 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENT (this “Agreement”) made as of June 10, 2013 (the “Grant Date”), between RCS Capital Corporation, a Delaware corporation (the “Company”), its subsidiaries Realty Capital Securities, LLC, a Delaware limited liability company (“RCSCCS”), RCS Advisory Services, LLC, a Delaware limited liability company (“RCSAS”), and American National Stock Transfer, LLC, a Delaware limited liability company (“ANST”), which are the entities through which the Company conducts substantially all of its operations (collectively, the “Partnerships”), and RCS Capital Management, LLC, a Delaware limited liability company, the Company’s manager (the “Manager”).
AMENDED AND RESTATED RCS CAPITAL CORPORATION 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENTMulti-Year Outperformance Agreement • February 28th, 2014 • RCS Capital Corp • Security brokers, dealers & flotation companies • Delaware
This AMENDED AND RESTATED 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENT (this “Agreement”) made as of February 11, 2014 (the “Reorganization Date”), among RCS Capital Corporation, a Delaware corporation (the “Company”), Realty Capital Securities, LLC, a Delaware limited liability company (“RCSCCS”), RCS Advisory Services, LLC, a Delaware limited liability company (“RCSAS”), American National Stock Transfer, LLC, a Delaware limited liability company (“ANST”, and together with RCSCCS and RCSAS, the “Operating Subsidiaries”), RCS Capital Holdings, LLC, a Delaware limited liability company(the “Partnership”), and RCS Capital Management, LLC, a Delaware limited liability company and the Company’s service provider (the “Service Provider”).
AMENDMENT NO. 1 TO AMENDED AND RESTATED 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENTMulti-Year Outperformance Agreement • May 2nd, 2014 • RCS Capital Corp • Security brokers, dealers & flotation companies • New York
This AMENDMENT NO. 1 TO AMENDED AND RESTATED 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENTS, dated as of April 28, 2014 (this “Amendment”), is entered into by and among RCS Capital Corporation (the “Company”), RCS Capital Holdings, LLC (the “Partnership”), and RCS Capital Management, LLC, the Company’s service provider (the “Service Provider”).
AMENDMENT NO. 2 TO AMENDED AND RESTATED 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENTMulti-Year Outperformance Agreement • March 11th, 2015 • RCS Capital Corp • Security brokers, dealers & flotation companies • New York
This AMENDMENT NO. 2 TO THE AMENDED AND RESTATED 2013 MULTI-YEAR OUTPERFORMANCE AGREEMENT, dated as of December 31, 2014 (this “Amendment”), is entered into by and among RCS Capital Corporation (the “Company”), RCS Capital Holdings, LLC (“Holdings”), and RCS Capital Management, LLC, the Company’s service provider (the “Service Provider”).
