IPO registrations (S-1, F-1) · Registrants
DIRECT MARKETS HOLDINGS CORP.
- SEC CIK
- 1054303 · filings on EDGAR ↗
- Name on the registration
- RODMAN & RENSHAW CAPITAL GROUP, INC.
- Former names
- RODMAN & RENSHAW CAPITAL GROUP, INC. (2007–2012); ENTHRUST FINANCIAL SERVICES INC (2007–2007); ENTRUST FINANCIAL SERVICES INC (2001–2007); EASY QUAL COM (2000–2001); CENTENNIAL BANC SHARE CORP (1998–2000)
- Registration
- Form S-1, first filed 2007-07-19, last 2007-10-12; 1 initial registration, 2 amendments
- Outcome
- Final prospectus filed 2007-10-17; declared effective 2007-10-16
- Industry (SIC)
- Security Brokers, Dealers & Flotation Companies 6211
- Incorporated in
- DE
- Business address
- C/O YANN GERON, CHAPTER 7 TRUSTEE, 100 PARK AVENUE, FL 15, New York, NY 10017
- EIN
- 84-1374481
- EDGAR entity type
- operating
- Insiders and CEO pay
- DIRECT MARKETS HOLDINGS CORP. on the corporate pages
Offering terms
- Proposed price range
- $5.00–$7.00 per share (S-1/A filed 2007-10-12)
- Final price
- $5.00 per share, within the range (424B1 filed 2007-10-17)
- Shares sold
- 8,000,000
- Gross proceeds
- $40,000,000 before underwriting discounts and any over-allotment option
- Listing
- OTC under the symbol RDRN.OB
- Lead underwriters
- Fox-Pitt Kelton Cochran Caronia Waller (USA) LLC (1,600,000 shares); Paulson Investment Company, Inc (800,000 shares)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: EASYQUAL HOMES, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: DIRECT MARKETS HOLDINGS CORP. Fuzzy (name and state)
- SEC filer: DIRECT MARKETS HOLDINGS CORP. EXACT (CIK (EXACT))
- Person page: Peter F Drake Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Steven A Horowitz Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
Filings 8
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2007-07-19 | S-1 | S-1 (registration) | ENTHRUST FINANCIAL SERVICES INC | 0000930413-07-006074 ↗ |
| 2007-09-20 | S-1/A | S-1/A (amendment) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 0000930413-07-007559 ↗ |
| 2007-10-12 | S-1/A | S-1/A (amendment) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 0000930413-07-007883 ↗ |
| 2007-10-16 | EFFECT | EFFECT (declared effective) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 9999999995-07-004061 ↗ |
| 2007-10-17 | 424B1 | 424B1 (final prospectus) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 0000930413-07-007994 ↗ |
| 2008-04-11 | EFFECT | EFFECT (declared effective) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 9999999995-08-001071 ↗ |
| 2008-04-23 | EFFECT | EFFECT (declared effective) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 9999999995-08-001166 ↗ |
| 2009-08-14 | EFFECT | EFFECT (declared effective) | RODMAN & RENSHAW CAPITAL GROUP, INC. | 9999999995-09-002276 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2007-10-12 | S-1/A | registration statement | $5.00–$7.00 | $5.00 | 1,970,099 | $9,850,495 | OTC RDRN.OB | 0 | primary document; range, price sentence, shares headline, proceeds computed | document ↗ |
| 2007-10-17 | 424B1 | final prospectus | $5.00 | 8,000,000 | $40,000,000 | OTC RDRN.OB | 2 | primary document; price sentence, shares headline, proceeds computed, underwriting table 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| KLING ARNOLD P | Director | 1 | 2007 | ||
| BORER JOHN J III | Director,Officer; Officer | Chief Executive Officer; Sen. Man. Dir. Co-head Inv Ban; Snr Mging Dir-Head Invmt Bkg | 3 | 2007–2010 | |
| RUBIN EDWARD | Director,Officer,TenPercentOwner | Chief Executive Officer; President | 2 | 2007–2010 | |
| CHAMBERS JOHN W | Officer | Pres AcumenBioFin Sr Mg Dir; Sen. Man. Dir. Co-head Inv Ban | 2 | 2007–2008 | |
| HOROWITZ STEVEN A | TenPercentOwner | 1 | 2007 | person page Fuzzy | |
| MATTHEW GELLER PhD | Officer | Senior Managing Director | 2 | 2007–2008 | |
| PAUL REVERE LLC | TenPercentOwner | 1 | 2007 | ||
| PINOU THOMAS | Officer | Chief Financial Officer | 2 | 2007–2008 | |
| VASINKEVICH MICHAEL | Director,Officer; Officer | Vice Chairman | 2 | 2007–2010 | |
| Clark Wesley | Director | 3 | 2007–2010 | ||
| DRYDEN SAM | Director | 6 | 2007–2011 | ||
| Cohen Richard | Director | 7 | 2007–2012 | ||
| Lacovara Michael | Director,Officer | Chief Executive Officer | 6 | 2007–2008 | |
| CHURCHILL WINSTON J | Director | 15 | 2007–2012 | ||
| DRAKE PETER F | Director | 8 | 2007–2011 | person page Fuzzy | |
| FRIEDMAN MARK L | Director | 16 | 2007–2012 | ||
| HAAS MARVIN I | Director | 9 | 2007–2012 | ||
| Horin David J | Officer | Chief Financial Officer | 10 | 2008–2012 | |
| SANFILIPPO ANTHONY M | Officer | President | 2 | 2011 | |
| Lupowitz Kevin | Officer | CEO of Direct Markets, Inc. | 1 | 2012 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | DIRECT MARKETS HOLDINGS CORP. | NY | State business registries | name and state |
| SEC filer | DIRECT MARKETS HOLDINGS CORP. | SEC filers (EDGAR) | CIK (EXACT) | |
| Business registration | EASYQUAL HOMES, INC. | State business registries | EIN (EXACT, as the state registration reports it) | |
| Person page | Peter F Drake | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Steven A Horowitz | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
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In other datasets, the same topic (Finance) in NY:
- Lobbying client: 3B1 PARTNERS (Federal lobbying (LDA))
Interests: Security Brokers, Dealers & Flotation Companies · Finance