Investor Relations
The information in this section pertains to Rodman & Renshaw Capital Group, Inc. (RODM), the holding company for Rodman & Renshaw, LLC.
Please select from the links below.
U.S. Securities and Exchange Commission Filings
| Filing Form | Filing Date | Description | File/Film No |
| 424B3 | 2008-04-14 | Prospectus [Rule 424(b)(3)] Acc-no: 0000930413-08-002356 (33 Act) |
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| 8-K | 2008-03-24 | Current report, items 8.01 and 9.01 Acc-no: 0000930413-08-001882 (34 Act) |
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| 3 | 2008-03-18 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-08-001773 |
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| 4 | 2008-03-18 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-08-001774 |
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| 8-K | 2008-03-18 | Current report, items 5.02 and 9.01 Acc-no: 0000930413-08-001780 (34 Act) |
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| S-3 | 2008-03-17 | Registration statement under Securities Act of 1933 Acc-no: 0000930413-08-001754 (33 Act) |
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| 10-K | 2008-03-14 | Annual report [Section 13 and 15(d), not S-K Item 405] Acc-no: 0000930413-08-001711 (34 Act) |
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| 8-K | 2008-02-20 | Current report, items 8.01 and 9.01 Acc-no: 0000930413-08-001124 (34 Act) |
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| 4 | 2008-02-19 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-08-001079 |
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| 4 | 2008-02-19 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-08-001078 |
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| 4 | 2008-02-19 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-08 001077 |
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| 4 | 2008-02-19 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-08-001076 |
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| 4 | 2008-02-19 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-08-001088 |
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| 8-K | 2008-02-15 | Current report, items 2.02, 8.01, and 9.01 Acc-no: 0000930413-08-001065 (34 Act) |
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| 4 | 2007-12-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009421 |
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| 4 | 2007-12-13 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009372 |
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| 4 | 2007-12-13 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009374 |
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| 4 | 2007-12-06 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009242 |
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| 4 | 2007-12-05 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009200 |
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| 4 | 2007-12-05 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009215 |
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| 4 | 2007-12-05 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009217 |
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| 4 | 2007-12-04 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-009130 |
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| 10-Q | 2007-11-13 | Quarterly report [Sections 13 or 15(d)] Acc-no: 0000930413-07-008660 (34 Act) |
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| 8-K | 2007-11-08 | Current report, items 2.02 and 9.01 Acc-no: 0000930413-07-008495 (34 Act) |
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| 424B3 | 2007-10-26 | Prospectus [Rule 424(b)(3)] Acc-no: 0000930413-07-008188 (33 Act) |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-007990 |
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| 3 | 2007-10-17 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-007991 |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-007992 |
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| 424B1 | 2007-10-17 | Prospectus [Rule 424(b)(1)] Acc-no: 0000930413-07-007994 (33 Act) |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-007995 |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-007996 |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-007997 |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-007998 |
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| 3 | 2007-10-17 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-007999 |
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| 3 | 2007-10-17 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-008000 |
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| 4 | 2007-10-17 | Statement of changes in beneficial ownership of securities Acc-no: 0000930413-07-008001 |
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| 3 | 2007-10-17 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-008002 |
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| EFFECT | 2007-10-16 | Notice of Effectiveness Acc-no: 9999999995-07-004061 (33 Act) |
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| CERTNAS | 2007-10-15 | [Paper]Acc-no: 9999999997-07-044178 (34 Act) |
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| S-1/A | 2007-10-12 | [Amend]General form for registration of securities under the Securities Act of 1933 Acc-no: 0000930413-07-007883 (33 Act) |
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| 8-A12B/A | 2007-10-12 | [Amend]Registration of securities [Section 12(b)] Acc-no: 0000930413-07-007888 (34 Act) |
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| 8-A12B | 2007-10-10 | Registration of securities [Section 12(b)] Acc-no: 0000930413-07-007844 (34 Act) |
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| S-1/A | 2007-09-20 | [Amend]General form for registration of securities under the Securities Act of 1933 Acc-no: 0000930413-07-007559 (33 Act) |
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| 3 | 2007-09-10 | Initial statement of beneficial ownership of securities Acc-no: 0001005477-07-004880 |
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| 8-K | 2007-09-04 | Current report, items 8.01 and 9.01 Acc-no: 0000930413-07-007141 (34 Act) |
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| 8-K/A | 2007-08-22 | [Amend]Current report, items 1.01, 2.01, 3.02, 3.03, 4.01, 5.01, 5.02, 5.06, and 9.01 |
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| DEF 14A | 2007-08-14 | Other definitive proxy statements Acc-no: 0000930413-07-006699 (34 Act) |
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| 3 | 2007-08-14 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006687 |
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| 10QSB | 2007-08-13 | Optional form for quarterly and transition reports of small business issuers Acc-no: 0000930413-07-006658 (34 Act) |
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| 8-K | 2007-08-10 | Current report, items 5.02 and 9.01 Acc-no: 0000930413-07-006615 (34 Act) |
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| PRE 14C | 2007-07-26 | Other preliminary information statements Acc-no: 0000930413-07-006229 (34 Act) |
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| 3 | 2007-07-23 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006133 |
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| 3 | 2007-07-23 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006132 |
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| REGDEX | 2007-07-19 | [Paper]Notice of Sale of Securities [Regulation D and Section 4(6) of the Securities Act of 1933], item 06 Acc-no: 9999999997-07-034312 (34 Act) |
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| S-1 | 2007-07-19 | General form for registration of securities under the Securities Act of 1933 Acc-no: 0000930413-07-006074 (33 Act) |
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| 3 | 2007-07-18 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006061 |
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| SC 13D | 2007-07-18 | General statement of acquisition of beneficial ownership Acc-no: 0000930413-07-006060 (34 Act) |
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| 3 | 2007-07-18 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006059 |
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| SC 13D | 2007-07-18 | General statement of acquisition of beneficial ownership Acc-no: 0000930413-07-006058 (34 Act) |
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| 3 | 2007-07-18 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006057 |
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| 3 | 2007-07-18 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006056 |
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| 3 | 2007-07-18 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-006055 |
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| 8-K/A | 2007-07-18 | [Amend]Current report, items 1.01, 2.01, 3.02, 4.01, 5.01, 5.02, 5.06, 8.01, and 9.01 Acc-no: 0000930413-07-006050 (34 Act) |
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| SC 13D/A | 2007-07-16 | [Amend]General statement of acquisition of beneficial ownership Acc-no: 0000930413-07-006009 (34 Act) |
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| 3 | 2007-07-12 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-005959 |
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| 3 | 2007-07-12 | Initial statement of beneficial ownership of securities Acc-no: 0000930413-07-005958 |
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| 8-K | 2007-07-11 | Current report, items 1.01, 2.01, 3.02, 4.01, 5.01, 5.02, 5.06, 8.01, and 9.01 Acc-no: 0000930413-07-005943 (34 Act) |
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| 4 | 2007-07-11 | Statement of changes in beneficial ownership of securities Acc-no: 0001005477-07-003954 |
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| SC 14F1 | 2007-07-11 | Statement regarding change in majority of directors [Rule 14f-1] Acc-no: 0000930413-07-005936 (34 Act) |
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