0000930413-11-003756.txt : 20110506 0000930413-11-003756.hdr.sgml : 20110506 20110506170254 ACCESSION NUMBER: 0000930413-11-003756 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110506 FILED AS OF DATE: 20110506 DATE AS OF CHANGE: 20110506 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: CHURCHILL WINSTON J CENTRAL INDEX KEY: 0000923792 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33737 FILM NUMBER: 11820489 MAIL ADDRESS: STREET 1: C/O SCP PARTNERS STREET 2: SUITE 300, 1200 LIBERTY RIDGE DRIVE CITY: WAYNE STATE: PA ZIP: 19087 4 1 c65623_ex.xml X0303 4 2011-05-06 0 0001054303 RODMAN & RENSHAW CAPITAL GROUP, INC. RODM 0000923792 CHURCHILL WINSTON J SUITE 300, 1200 LIBERTY RIDGE DRIVE WAYNE PA 19087 1 0 0 0 Common Stock 2011-05-06 4 A 0 10000 A 49768 D Common Stock 307065 D Option 5 2017-10-14 Common Stock 10000 10000 D Not applicable. 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. 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. /s/ Winston J. Churchill 2011-05-06