Filing Details

Accession Number:
0000930413-10-003006
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-05-24 13:00:00
Reporting Period:
2010-05-20
Filing Date:
2010-05-24
Accepted Time:
2010-05-24 10:06:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1054303 Rodman & Renshaw Capital Group Inc. RODM Security Brokers, Dealers & Flotation Companies (6211) 841374481
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
940579 L Mark Friedman
1251 Avenue Of The Americas
New York NY 10020
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2010-05-20 3,000 $2.85 92,437 No 4 P Direct
Common Stock Acquisiton 2010-05-21 2,000 $2.84 94,437 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 39,768 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Option $5.00 2017-10-14 10,000 10,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-10-14 10,000 10,000 Direct
Footnotes
  1. All of these shares are restricted shares underlying Restricted Stock Units granted to the Reporting Person in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended. Such shares will be delivered to the Reporting Person in accordance with the terms of an award agreement between the Issuer and the Reporting Person.
  2. Exercisable to acquire one-third of the underlying shares on the first anniversary of the grant date and to acquire an additional one-third of the underlying shares on each of the second and third anniversaries of the grant date.