Horin David J 4
4 · RODMAN & RENSHAW CAPITAL GROUP, INC. · Filed Dec 29, 2009
Insider Transaction Report
Form 4
Horin David J
Chief Financial Officer
Transactions
- Award
Common Stock
2009-12-29+28,748→ 219,500 total
Holdings
- 19,695
Common Stock
Footnotes (3)
- [F1]Not applicable.
- [F2]100,000 of these shares are restricted shares issued to the reporting person pursuant to a Restricted Stock Grant Agreement dated March 17, 2008, and shall vest as follows: one-third of the shares shall vest on March 16, 2009, 2010, and 2011, respectively. Further, these shares are subject to accelerated vesting and forfeiture upon the happening of certain events as provided for in the Restricted Stock Grant Agreement.
- [F3]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.