RCS Capital Corp Watch

from 8-K 118 pages Superpriority Secured Debtor-In-Possession Term Loan Agreement Dated as of February 8, 2016 Among RCS Capital Corporation, a Debtor and Debtor in Possession Under Chapter 11 of the Bankruptcy Code as Borrower the Lenders Party Hereto and Barclays Bank PLC, as Administrative Agent, Collateral Agent, Sole Syndication Agent, Sole Book-Runner and Sole Lead Arranger

from 8-K 27 pages Forbearance Agreement to Second Lien Credit Agreement

from 8-K 28 pages Forbearance Agreement to First Lien Credit Agreement

from 8-K 14 pages Amendment No. 2, Dated as of November 8, 2015 (This “Amendment”), to the Second Lien Credit Agreement, Dated as of April 29, 2014 (As Amended by Amendment No.1 Dated as of June 30, 2015 and as Further Amended, Restated, Amended and Restated, Extended, Supplemented or Otherwise Modified From Time to Time, the “Credit Agreement”), Among RCS Capital Corporation, a Delaware Corporation (The “Borrower”), RCAP Holdings, LLC, a Delaware Limited Liability Company (“RCAP Holdings”), RCS Capital Management, LLC, a Delaware Limited Liability Company (“Rcs Management”), the Subsidiary Guarantors, the Lenders and Other Parties Thereto From Time to Time Party Thereto and Bank of America, N.A., as Administrative Agent and Collateral Agent. A. the Borrower Has Requested That the Required Lenders Amend the Credit Agreement as Set Forth Below. B. Pursuant to Section 9.08 of the Credit Agreement, the Borrower and the Lenders May Amend the Credit Agreement With the Acknowledgement of the Administrative Agent. C. Capitalized Terms Used but Not Defined Herein Have the Meanings Assigned to Them in the Credit Agreement. Accordingly, in Consideration of the Mutual Agreements Herein Contained and Other Good and Valuable Consideration, the Sufficiency and Receipt of Which Are Hereby Acknowledged, and Subject to the Conditions Set Forth Herein, the Parties Hereto Hereby Agree as Follows

from 8-K 16 pages Amendment No. 2, Dated as of November 8, 2015 (This “Amendment”), to the First Lien Credit Agreement, Dated as of April 29, 2014 (As Amended by Amendment No. 1 Dated as of June 30, 2015 and as Further Amended, Restated, Amended and Restated, Extended, Supplemented or Otherwise Modified From Time to Time, the “Credit Agreement”), Among RCS Capital Corporation, a Delaware Corporation (The “Borrower”), RCAP Holdings, LLC, a Delaware Limited Liability Company (“RCAP Holdings”), RCS Capital Management, LLC, a Delaware Limited Liability Company (“Rcs Management”), the Subsidiary Guarantors, the Lenders and Other Parties Thereto From Time to Time Party Thereto and Barclays Bank PLC, as Administrative Agent and Collateral Agent. A. the Borrower Has Requested That the Required Lenders Amend the Credit Agreement as Set Forth Below. B. Pursuant to Section 9.08 of the Credit Agreement, the Borrower and the Lenders May Amend the Credit Agreement With the Acknowledgement of the Administrative Agent. C. Capitalized Terms Used but Not Defined Herein Have the Meanings Assigned to Them in the Credit Agreement. Accordingly, in Consideration of the Mutual Agreements Herein Contained and Other Good and Valuable Consideration, the Sufficiency and Receipt of Which Are Hereby Acknowledged, and Subject to the Conditions Set Forth Herein, the Parties Hereto Hereby Agree as Follows

from 8-K 8 pages Amendment No. 1, Dated as of June 30, 2015 (This “Amendment”), to the Second Lien Credit Agreement, Dated as of April 29, 2014 (As Amended, Restated, Amended and Restated, Extended, Supplemented or Otherwise Modified From Time to Time, the “Credit Agreement”), Among RCS Capital Corporation, a Delaware Corporation (The “Borrower”), RCAP Holdings, LLC, a Delaware Limited Liability Company, (“RCAP Holdings”), RCS Capital Management, LLC a Delaware Limited Liability Company (“Rcs Management”), the Subsidiary Guarantors, the Lenders and Other Parties Thereto From Time to Time Party Thereto and Bank of America, N.A., as Administrative Agent and Collateral Agent. A. the Borrower Has Requested That the Required Lenders Amend the Credit Agreement as Set Forth Below. B. Pursuant to Section 9.08 of the Credit Agreement, the Borrower and the Required Lenders May Amend the Credit Agreement With the Acknowledgement of the Administrative Agent. C. Capitalized Terms Used but Not Defined Herein Have the Meanings Assigned to Them in the Credit Agreement. Accordingly, in Consideration of the Mutual Agreements Herein Contained and Other Good and Valuable Consideration, the Sufficiency and Receipt of Which Are Hereby Acknowledged, and Subject to the Conditions Set Forth Herein, the Parties Hereto Hereby Agree as Follows

from 8-K 9 pages Amendment No. 1, Dated as of June 30, 2015 (This “Amendment”), to the First Lien Credit Agreement, Dated as of April 29, 2014 (As Amended, Restated, Amended and Restated, Extended, Supplemented or Otherwise Modified From Time to Time, the “Credit Agreement”), Among RCS Capital Corporation, a Delaware Corporation (The “Borrower”), RCAP Holdings, LLC, a Delaware Limited Liability Company, (“RCAP Holdings”), RCS Capital Management, LLC a Delaware Limited Liability Company (“Rcs Management”), the Subsidiary Guarantors, the Lenders and Other Parties Thereto From Time to Time Party Thereto and Barclays Bank PLC, as Administrative Agent and Collateral Agent. A. the Borrower Has Requested That the Required Lenders Amend the Credit Agreement as Set Forth Below. B. Pursuant to Section 9.08 of the Credit Agreement, the Borrower and the Required Lenders May Amend the Credit Agreement With the Acknowledgement of the Administrative Agent. C. Capitalized Terms Used but Not Defined Herein Have the Meanings Assigned to Them in the Credit Agreement. Accordingly, in Consideration of the Mutual Agreements Herein Contained and Other Good and Valuable Consideration, the Sufficiency and Receipt of Which Are Hereby Acknowledged, and Subject to the Conditions Set Forth Herein, the Parties Hereto Hereby Agree as Follows

from 8-K 131 pages Second Lien Credit Agreement Dated as of April 29, 2014 Among RCS Capital Corporation, as Borrower RCS Capital Management, LLC RCAP Holdings, LLC the Lenders Party Hereto and Bank of America, N.A., as Administrative Agent and Collateral Agent, Barclays Bank PLC, as Syndication Agent, Bank of America, N.A. and Barclays Bank PLC, as Joint Lead Arrangers and Bookrunners

from 8-K 157 pages First Lien Credit Agreement Dated as of April 29, 2014 Among RCS Capital Corporation, as Borrower RCS Capital Management, LLC RCAP Holdings, LLC the Lenders Party Hereto and Barclays Bank PLC, as Administrative Agent and Collateral Agent, Merrill Lynch, Pierce, Fenner & Smith Incorporated, as Syndication Agent, Barclays Bank PLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, as Joint Lead Arrangers and Bookrunners