4//SEC Filing
FRIEDMAN MARK L 4
Accession 0000930413-09-005835
CIK 0001054303other
Filed
Nov 17, 7:00 PM ET
Accepted
Nov 18, 3:52 PM ET
Size
10.2 KB
Accession
0000930413-09-005835
Insider Transaction Report
Form 4
FRIEDMAN MARK L
Director
Transactions
- Purchase
Common Stock
2009-11-17$3.62/sh+1,000$3,620→ 76,000 total - Purchase
Common Stock
2009-11-17$3.63/sh+1,500$5,445→ 77,500 total - Purchase
Common Stock
2009-11-18$3.54/sh+2,500$8,850→ 80,000 total
Holdings
- 39,768
Common Stock
- 10,000
Option
Exercise: $5.00Exp: 2017-10-14→ Common Stock (10,000 underlying)
Footnotes (2)
- [F1]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.
- [F2]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.
Documents
Issuer
RODMAN & RENSHAW CAPITAL GROUP, INC.
CIK 0001054303
Entity typeother
Related Parties
1- filerCIK 0000940579
Filing Metadata
- Form type
- 4
- Filed
- Nov 17, 7:00 PM ET
- Accepted
- Nov 18, 3:52 PM ET
- Size
- 10.2 KB