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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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FORM 8-K |
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CURRENT REPORT |
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PURSUANT TO SECTION 13 OR 15(d) OF THE |
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SECURITIES EXCHANGE ACT OF 1934 |
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Date of Report (Date of earliest event reported): November 1, 2011 |
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RODMAN & RENSHAW CAPITAL GROUP, INC. |
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(Exact name of Registrant as specified in its charter) |
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Delaware |
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001-33737 |
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84-1374481 |
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(State or other jurisdiction |
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(Commission |
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(IRS Employer |
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1251 Avenue of the Americas, New York, New York |
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10020 |
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(Address Of Principal Executive Office) |
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(Zip Code) |
Registrant’s telephone number, including area code (212) 356-0500
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(Former Name or Former Address, if Changed Since Last Report) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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Item 2.02. |
Results of Operations and Financial Condition. |
On November 1, 2011, Rodman & Renshaw Capital Group, Inc. (“Rodman”) issued a press release announcing, among other things, its third quarter 2011 financial results. A copy of the press release is attached hereto as Exhibit 99.1.
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Item 8.01. |
Other Events. |
On November 1, 2011, Rodman issued a press release announcing, among other things, a private placement financing of convertible debt and warrants. A copy of the press release is attached hereto as Exhibit 99.1.
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Item 9.01. |
Financial Statements and Exhibits. |
(d) Exhibits
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Exhibit |
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Description |
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99.1 |
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Press release, dated November 1, 2011, announcing private placement financing of convertible debt and warrants, investment banking outlook, operating cost reductions and third quarter 2011 financial results. |
In accordance with General Instruction B.2 of Form 8-K, the information in this Current Report on Form 8-K, furnished pursuant to Item 2.02, including Exhibit 99.1, shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Rodman & Renshaw Capital Group, Inc. |
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Dated: November 1, 2011 |
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/s/ David J. Horin |
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David J. Horin |
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Chief Financial Officer |
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Exhibit Index
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Exhibit |
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Description |
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99.1 |
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Press release, dated November 1, 2011, announcing private placement financing of convertible debt and warrants, investment banking outlook, operating cost reductions and third quarter 2011 financial results. |
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