-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Et/Jq6wT/bWdLqp5vYATEG8lTp/ZBbB44sg0RBwOC1F5Db1UxXb2PMUsoDSVOH3v h3yGn/vWuv9Oj6S54f45cw== 0000930413-08-005006.txt : 20080819 0000930413-08-005006.hdr.sgml : 20080819 20080819160129 ACCESSION NUMBER: 0000930413-08-005006 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071203 FILED AS OF DATE: 20080819 DATE AS OF CHANGE: 20080819 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RODMAN & RENSHAW CAPITAL GROUP, INC. CENTRAL INDEX KEY: 0001054303 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 841374481 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2123560500 MAIL ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: ENTHRUST FINANCIAL SERVICES INC DATE OF NAME CHANGE: 20070702 FORMER COMPANY: FORMER CONFORMED NAME: ENTRUST FINANCIAL SERVICES INC DATE OF NAME CHANGE: 20010410 FORMER COMPANY: FORMER CONFORMED NAME: EASY QUAL COM DATE OF NAME CHANGE: 20000628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DRAKE PETER F CENTRAL INDEX KEY: 0001267854 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-33737 FILM NUMBER: 081027704 MAIL ADDRESS: STREET 1: 15241 BARRANCA PARKWAY CITY: IRVINE STATE: CA ZIP: 92618 4/A 1 c54667_ex.xml X0303 4/A 2007-12-03 2007-12-06 0 0001054303 RODMAN & RENSHAW CAPITAL GROUP, INC. RODM 0001267854 DRAKE PETER F 1270 AVENUE OF THE AMERICAS NEW YORK NY 10020 1 0 0 0 Common Stock 2007-12-03 4 P 0 2500 4.0783 A 2500 D Common Stock 2007-12-04 4 P 0 16600 4.1201 A 19100 D Option 5.00 2017-10-14 Common Stock 10000 10000 D This transaction was omitted from the reporting person's Form 4 filing on 12/6/2007. 3,000 of these shares were omitted from the reporting person's Form 4 filing on 12/6/2007. /s/ Peter F. Drake 2008-08-18 -----END PRIVACY-ENHANCED MESSAGE-----