0000930413-12-002822.txt : 20120504 0000930413-12-002822.hdr.sgml : 20120504 20120504095545 ACCESSION NUMBER: 0000930413-12-002822 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120504 FILED AS OF DATE: 20120504 DATE AS OF CHANGE: 20120504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAAS MARVIN I CENTRAL INDEX KEY: 0001383352 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33737 FILM NUMBER: 12812190 MAIL ADDRESS: STREET 1: C/O UNIVERSAL POWER GROUP INC. STREET 2: 1720 HAYDEN ROAD CITY: CARROLLTON STATE: TX ZIP: 75006 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 4 1 c69594_ex.xml OWNERSHIP DOCUMENT X0305 4 2012-05-04 0 0001054303 RODMAN & RENSHAW CAPITAL GROUP, INC. RODM 0001383352 HAAS MARVIN I 1251 AVENUE OF THE AMERICAS NEW YORK NY 10020 1 0 0 0 Common Stock 2012-05-04 4 A 0 30000 A 70000 D Common Stock 13768 D Option 5.00 2017-10-14 Common Stock 10000 10000 D 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. 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. Marvin I. Haas 2012-05-04