-----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, Tjg4M2pCOanjp4bUtGeIOr109tCzvG5uxFqMXuDEeOAMWQZ6fDC/GDqiXSZyvFRa OrlXOh+04sxT0RcSqW8fnA== 0000889812-97-002625.txt : 19971211 0000889812-97-002625.hdr.sgml : 19971211 ACCESSION NUMBER: 0000889812-97-002625 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971117 FILED AS OF DATE: 19971210 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAXCOR FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000931707 STANDARD INDUSTRIAL CLASSIFICATION: LOAN BROKERS [6163] IRS NUMBER: 593262958 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-25056 FILM NUMBER: 97735321 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CTR STREET 2: 84TH FL CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2127487000 MAIL ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 84TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 FORMER COMPANY: FORMER CONFORMED NAME: FINANCIAL SERVICES ACQUISITION CORP /DE/ DATE OF NAME CHANGE: 19941020 COMPANY DATA: COMPANY CONFORMED NAME: WHITTEMORE FREDERICK B CENTRAL INDEX KEY: 0001022195 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 6100 N WESTERN AVENUE CITY: OKLAHOMA CITY STATE: OK ZIP: 73118 BUSINESS PHONE: 4058488000 MAIL ADDRESS: STREET 1: 6100 N WESTERN AVENUE CITY: OKLAHOMA CITY STATE: OK ZIP: 73118 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION 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 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 Whittemore Frederick B. (Last) (First) (Middle) c/o Maxcor Financial Group Inc. Two World Trade Center, 84th Floor (Street) New York New York 10048 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Maxcor Financial Group Inc. (formerly Financial Services Acquisition Corporation) (Common Stock: "MAXF") 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 11/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) /X/ Director / / 10% Owner / / Officer (give title below) / / Other (specify below) - -------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) /X/ Form filed by One Reporting Person / / Form filed by More than One Reporting Person Page 1
Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Secu- rities 4. Securities Acquired (A) Bene- 6. Ownership 2. Trans- 3. Trans- or Disposed of (D) ficially Form: action action (Instr. 3, 4 and 5) Owned at Direct 7. Nature of Date Code ----------------------------- End of (D) or Indirect (Month/ (Instr. 8) (A) Month Indirect Beneficial 1. Title of Security Day/ ------------- Amount or Price (Instr. (I) Ownership (Instr. 3) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- ---------- ------ ----- ------------ --- ---------- ----------- ------------- --------------- a. Common Stock, par value 11/17/97 A 8,335 A (1) 33,335 D $.001 b. c. d.
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Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 2. Conver- 5. Number of Deriv- 6. Date Exercisable sion or 3. Trans- ative Securities and Expiration Date Exercise action 4. Transac- Acquired (A) or (Month/Day/Year) Price of Date tion Code Disposed of (D) ---------------------- Deriv- (Month/ (Instr. 8) (Instr. 3, 4 and 5) Date 1. Title of Derivative Security ative Day/ ------------- -------------------------- Exercis- Expiration (Instr. 3) Security Year) Code V (A) (D) able Date - ---------------------------------------- ----------- ---------- ------ ----- ------------ ------------ ---------- ---------- a. Series A Redeemable $5.00 11/17/97 D 50,000 Immediate 11/30/01 Common Stock Purchase Warrants b. c. 9. Number of Derivative 10. Ownership Securities Form of 7. Title and Amount of Underlying Benefi- Derivative Securities (Instr. 3 and 4) cially Security: 11. Nature of ---------------------------------------- 8. Price of Owned at Direct Indirect Amount or Derivative End of (D) or Beneficial 1. Title of Derivative Title Number of Security Month Indirect Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (I) (Instr. 4) - --------------------------- --------------------------- ----------- ------------- ------------- -------------- --------------- a. Series A Redeemable Common Stock, par value 50,000 (1) 0 D Common Stock Purchase $.001 Warrants b. c.
Explanation of Responses: (1) On October 16, 1997, the Issuer commenced an exchange offer (the "Offer") pursuant to which it offered to exchange 0.1667 of a share of its Common Stock for each and every of its outstanding Redeemable Common Stock Purchase Warrants (regardless of whether Series A or Series B), with cash paid in lieu of issuing fractional shares. The Issuer consummated the Offer on November 17, 1997. Pursuant to the Offer, the Reporting Person tendered all 50,000 Warrants directly held by him and received in exchange therefor 8,335 shares of Common Stock. /s/ Frederick B. Whittemore December 10, 1997 - ------------------------------------ ---------------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note. File three copies of this form, one of which must be manually signed. If space provided is insufficent, see Instruction 6 for procedure. Page 3 -----END PRIVACY-ENHANCED MESSAGE-----