-----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, NosAZ/10nW3g5lBcWbWvbuUthlMUqGTKG21b1IySdODa7B9bNrbeMmTq2fQqRb1X L1e9UQDveX/BEcYeddH+Rg== 0000889812-98-002877.txt : 19981210 0000889812-98-002877.hdr.sgml : 19981210 ACCESSION NUMBER: 0000889812-98-002877 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981201 FILED AS OF DATE: 19981209 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: 3 SEC ACT: SEC FILE NUMBER: 000-25056 FILM NUMBER: 98766617 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: CLARK ROBIN A CENTRAL INDEX KEY: 0001074993 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 84TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 MAIL ADDRESS: STREET 1: TWO TRADE CENTER STREET 2: 884TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 3 1 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 1. Name and Address of Reporting Person* Clark Robin A. - ------------------------------------------------------------------------------ (Last) (First) (Middle) c/o Euro Brokers International Limited 133 Houndsditch - ------------------------------------------------------------------------------ (Street) London United Kingdom EC3A 7AJ - ------------------------------------------------------------------------------ (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 12/01/98 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 4. Issuer Name and Ticker or Trading Symbol Maxcor Financial Group Inc. (Common Stock: "MAXF") 5. Relationship of Reporting Person to Issuer (Check all applicable) / / Director / / 10% Owner / / Officer (give title below) /X/ Other (specify below) Co-Managing Director of Issuer Subsidiary 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Reporting (Check applicable line) /X/ Form filed by One Reporting Person / / Form filed by More than One Reporting Person * If the Form is filed by more than one Reporting Person, see instruction 5(b)(v). Page 1
Table I -- Non-Derivative Securities Beneficially Owned 2. Amount 3. Ownership of Secu- Form: rities Direct 4. Nature of Bene- (D) or Indirect ficially Indirect Beneficial Owned (I) Ownership 1. Title of Security (Instr. 4) (Instr. 5) (Instr. 5) - -------------------------------- ------------- ------------- ---------------- Common Stock, par value $.001 13,500 D
Table II--Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 2. Date Exercisable and Expiration Date 3. Title and Amount of Securities Underlying Derivative (Month/Day/Year) Security (Instr. 4) ---------------------- ----------------------------------------------------------- Date Amount or 1. Title of Derivative Exercis- Expiration Title Number of Security (Instr. 4) able Date Shares - ---------------------------------------------- ---------- ---------- ---------------------------------------------- ----------- Options - Right to Buy 1 8/26/06 Common Stock, par value $.001 50,000 Options - Right to Buy 2 8/13/08 Common Stock, par value $.001 20,000 5. Ownership Form of Derivative 4. Conver- Security: sion or Direct 6. Nature of Exercise (D) or Indirect Price of Indirect Beneficial 1. Title of Derivative Derivative (I) Ownership Security (Instr. 4) Security (Instr. 5) (Instr. 5) - ---------------------------------------------- ------------- ------------- -------------- Options - Right to Buy $2.00 D Options - Right to Buy $2.00 D
Explanation of Responses: 1 Options were all granted on August 27, 1996 and have 10 year terms (unless the reporting person's employment with the issuer terminates earlier). 20% of the options become exercisable on each of the 1st, 2nd, 3rd , 4th and 5th anniversaries of the date of grant. 2 Options were all granted on August 14, 1998 and have 10 year terms (unless the reporting person's employment with the issuer terminates earlier). 25% of the options become exercisable on each of the 1st, 2nd, 3rd and 4th anniversaries of the date of grant. /s/ Robin A. Clark December 9, 1998 - --------------------------------------- -------------------------- **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 insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----