-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HD+FYHGBHFWCwB+nMP0LrBIsMClU5THBzuYuMmXT3CrXS7zA3c+NFi131uLXrTOS q0xdVB655aV7r4etqVAUzA== 0000909789-98-000014.txt : 19980401 0000909789-98-000014.hdr.sgml : 19980401 ACCESSION NUMBER: 0000909789-98-000014 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980331 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MATRIX CAPITAL CORP /CO/ CENTRAL INDEX KEY: 0000944725 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 841233716 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-47981 FILM NUMBER: 98581289 BUSINESS ADDRESS: STREET 1: 1380 LAWRENCE ST STREET 2: STE 1410 CITY: DENVER STATE: CO ZIP: 80204 BUSINESS PHONE: 3035959898 MAIL ADDRESS: STREET 1: 1380 LAWRENCE STREET STREET 2: SUITE 1410 CITY: DENVER STATE: CO ZIP: 80204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL STOCKS INC CENTRAL INDEX KEY: 0001041241 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 507 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 5070 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13D/A 1 SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Matrix Capital Corporation _________________________________________________________________ (Name of Issuer) Common Stock, par value $.0001 per share _________________________________________________________________ (Title of Class of Securities) 576819106 _________________________________________________________________ (CUSIP Number) John M. Stein 507 Carew Tower 441 Vine Street Cincinnati, Ohio 45202 (513) 241-6166 _________________________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 26, 1998 _________________________________________________________________ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(b)(3) or (4), check the following box ___. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 4 Pages CUSIP No. 576819106 13D 2 of 6 pages _________________________________________________________________ 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Financial Stocks, Inc. 85-0366665 _________________________________________________________________ 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) ___ (b) X _________________________________________________________________ 3) SEC Use Only _________________________________________________________________ 4) Source of Funds (See Instructions) WC _________________________________________________________________ 5) Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ___ _________________________________________________________________ 6) Citizenship or Place of Organization Ohio _______________________________________________________________ | | | | NUMBER OF SHARES | 7) Sole Voting Power 401,346 | | BENEFICIALLY OWNED |_________________________________________| | BY EACH REPORTING | 8) Shared Voting Power 22,954 | | PERSON WITH |_________________________________________| | | 9) Sole Dispositive Power 401,346 | | |_________________________________________| | | 10) Shared Dispositive Power 22,954 | |_______________________________________________________________| 11) Aggregate Amount Beneficially Owned by Each Reporting Person 424,300 _________________________________________________________________ 12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ___ _________________________________________________________________ 13) Percent of Class Represented by Amount in Row (11) 6.3% _________________________________________________________________ 14) Type of Reporting Person (See Instructions) IA Item 1. Security and Issuer ------------------- This statement relates to the Common Stock, par value $.0001 per share ("Common Stock"), of Matrix Capital Corporation (the "Issuer"). The name and address of the principal executive offices of the Issuer are as follows: Matrix Capital Corporation 1380 Lawrence Street, Suite 1410 Denver, Colorado 80204 Item 5. Interest in Securities of the Issuer. ------------------------------------ The following table sets forth information with respect to the shares of Common Stock of which FSI has or shares beneficial ownership: Percent of Record Owner Number of Shares Outstanding - ------------ ---------------- ----------- FSLP 401,346 (1) 6.0 Rising Stars 22,954 (2) .3 (1) As general partner of FSLP, FSI has sole voting power and dispositive power with respect to these shares. (2) As an investment advisor to Rising Stars, FSI shares voting power and dispositive power with respect to these shares. The following table sets forth information with respect to all transactions with respect to the Common Stock in which FSI has engaged in the last 60 days. Date Shares Purchased Price Per Share - ---- ---------------- --------------- For FSLP For Rising Sun -------- -------------- 3/26/98 51,801 3,899 $27.4375 All of such shares of Common Stock were acquired in open market transactions. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. FINANCIAL STOCKS, INC. March 27, 1998 By: /s/ John M. Stein - -------------- -------------------------- Date John M. Stein, President -----END PRIVACY-ENHANCED MESSAGE-----