-----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, HpRM3lbFAjWruF6MciJdR7Mi23GIeQQezbZ1FDdAfnlsmbhRL0ryNj0aq4EiFJRx R/swfqEDsLyRCpgYBf+1fQ== 0001021408-01-002123.txt : 20010411 0001021408-01-002123.hdr.sgml : 20010411 ACCESSION NUMBER: 0001021408-01-002123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010410 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: 4 SEC ACT: SEC FILE NUMBER: 000-23554 FILM NUMBER: 1599832 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 COMPANY DATA: COMPANY CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] DIRECTOR IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 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 4 1 0001.txt FORM 4 TODD A. BOREN WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person BOREN TODD A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 250 PARK AVENUE SOUTH/ SUITE 200 - -------------------------------------------------------------------------------- (Street) WINTER PARK FL 32789 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol INTERNATIONAL ASSETS HOLDING CORPORATION -- IAAC ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year MARCH, 2001 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) SENIOR VICE PRESIDENT AND MANAGING DIRECTOR PRIVATE CLIENT GROUP ---------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [_] Form filed by More Than One Reporting Person ================================================================================ Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. Owner- 7. Nature 3. Trans- 5. Amount of ship of In- 2. Trans- action 4. Securities Acquired (A) Securities Form: direct action Code or Disposed of (D) Beneficially Direct Bene- 1. Title Date (Instr. 8) (Instr. 3, 4 and 5) Owned at (D) or ficial of (Month/ ----------------------------------------------- End of Indirect Owner- Security Day/ (A) or Price Month (I) ship (Instr. 3) Year) Code V Amount (D) (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 03/09/01 P 500 A 3.00 4,159 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. FORM 4 (continued) Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
============================================================================================================================= 2. Conver- 5. Number of Deriv- sion or 3. Trans- ative Securities Exercise action 4. Transac- Acquired (A) or Price of Date tion Code Disposed of (D) Deriv- (Month/ (Instr. 8) (Instr. 3, 4, and 5) 1. Title of Derivative ative Day/ --------------------------------------------------- Security (Instr. 3) Security Year) Code V (A) (D) - ----------------------------------------------------------------------------------------------------------------------------- International Assets Holding Corp. Option 3/9/01 A 30000 03/09/06* - ----------------------------------------------------------------------------------------------------------------------------- International Assets Holding Corp. Options - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------
Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 9. Number 10. Owner- of Deriv- ship 6. Date Exer- ative Form 11. Na- cisable and Secur- of De- ture Expiration 8. Price ities rivative of In- Date 7. Title and Amount of of Bene- Securities direct (Month/Day/ Underlying Securities Deriv- ficially Bene- Bene- Year) (Instr. 3 and 4) ative Owned ficially ficial -------------------------------------------- Secur- at End Owned at Owner- Date Expira- Amount or ity of End of ship Exer- tion Number of (Instr. Month Month(1) (Instr. cisable Date Title Shares 5) (Instr. 4) (Instr. 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ 03/09/02 03/09/06* Common 30000 3.125 30,000 D - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/00 12/11/06** Common 7,194 2.512 37,194 D - ------------------------------------------------------------------------------------------------------------------------------------ 10/01/01 10/01/08*** Common 5995 1.486 43,189 D - ------------------------------------------------------------------------------------------------------------------------------------ 12/09/02 12/09/09**** Common 5450 7.167 48,639 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
================================================================================ Explanation of Responses:*33% VESTS 03/09/02; 33% VESTS 03/09/03; REMAINDER VESTS 03/09/04 **25% VESTS 12/11/00; 25% VESTS 12/11/01; 25% VESTS 12/11/02; REMAINDER VESTS 12/11/03 ** 20% VESTS 10/01/01; 20% VESTS 10/01/02; 20% VESTS 10/01/03; 20% VESTS 10/01/04; REMAINDER VESTS 10/01/05 *** 20% VESTS 12/09/01; 20% VESTS 12/09/02; 20% VESTS 10/01/03; 20% VESTS 10/01/04; REMAINDER VESTS 12/09/05 /s/ TODD A. BOREN 04/05/01 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----