-----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, S1t+V+U1MFw13gXZPR+Xk7CokjjPzS3CwqOH3Qyo5Qyk9eaW3U8kZtsZFI/CIMC9 zLJ2/Xf3ALltNUBYdYKmDQ== 0000913760-00-000019.txt : 20000216 0000913760-00-000019.hdr.sgml : 20000216 ACCESSION NUMBER: 0000913760-00-000019 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-46211 FILM NUMBER: 545642 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 BUSINESS PHONE: 4076291400 MAIL ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 BUSINESS PHONE: 4076291400 MAIL ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 SC 13G 1 GENERAL STATEMENT OF BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No._____4_______)* INTERNATIONAL ASSETS HOLDING CORPORATION ----------------------------------------------------- (Name of Issuer) COMMON SHARES ----------------------------------------------------- (Title of Class of Securities) 459028106 ----------------------------------------------------- (CUSIP Number) January 31, 2000 ----------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this schedule is filed: _X___ Rule 13-d-1(b) ____ Rule 13-d-1(c) ____ Rule 13-d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. Page 1 of 6 Pages CUSIP No. __459028106 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. Identifications Nos. of above persons (entities only). THE INTERNATIONAL ASSETS ADVISORY CORPORATION 401(K) PROFIT SHARING PLAN (FORMERLY KNOWN AS THE INTERNATIONAL ASSETS ADVISORY CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST) 59-6993257 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP. (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION FLORIDA - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 220,047 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH N/A REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH: 220,047 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,047 - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.10 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) EP - -------------------------------------------------------------------------------- Page 2 of 6 Pages Item 1. (a) Name of Issuer: INTERNATIONAL ASSETS HOLDING CORPORATION (b) Address of Issuer's Principal Executive Offices: 250 PARK AVENUE SOUTH, SUITE 200 Item 2. (a) Name of Person Filing: THE INTERNATIONAL ASSETS ADVISORY CORPORATION 401(K) PROFIT SHARING PLAN ("401(K)PLAN") (b) Address of Principal Business Office or, if none, Residence 250 PARK AVENUE SOUTH, SUITE 200 WINTER PARK, FLORIDA 32789 (c) Citizenship: FLORIDA (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 459028106 Item 3. If this statement is filed pursuant to SS 240.13d-1(b), or 240.13d-2(b)or check whether the person filing is a: (a) ____ Broker or Dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) ____ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) ____ Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C.78c). (d) ____ Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) ____ An investment adviser in accordance with S240.13d-1(b) (1)(ii)(E); (f) _X__ An employee benefit plan or endowmentfund in accordance with S240.13d-1(b)(1)(ii)(F); (g) ____ A parent holding company or control person in accordance with S240.13d-1(b)(1)(ii)(G); (h) ____ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) ____ A church that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) ____ Group, in accordance with S2403d-1(b)(1)(ii)(J) Page 4 of 6 Pages Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securiites of the issuer identified in Item 1. (a) Amount beneficially owned: 220,047 (b) Percent of class: 11.10% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 220,047 (ii) Shared power to vote or to direct the vote N/A. (iii) Sole power to dispose or to direct the disposition of 220,047. (iv) Shared power to dispose or to direct the disposition of N/A. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. No person or entity other than the 401(K) Plan through its trustees has the right to receive or the power to direct any dividends or proceeds. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification. By signing below I/we certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Signature. NANCEY M. MCMURTRY ____________________________________ Name /S/ NANCEY M. MCMURTRY _____________________________________ Signature NANCEY M. MCMURTRY, TRUSTEE _____________________________________ Name/Title -----END PRIVACY-ENHANCED MESSAGE-----