-----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, J0uBm4IDLB1Skp8O3XBPxt60UtkNVMhDpG/J8PmsMl/MFI16DjcOGoqw3yQPibVV nKEW/LFGVS0hXewj9F9qVg== 0000889812-00-000673.txt : 20000214 0000889812-00-000673.hdr.sgml : 20000214 ACCESSION NUMBER: 0000889812-00-000673 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAXCOR FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000931707 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 593262958 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-25056 FILM NUMBER: 534146 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: KOPP LARRY S CENTRAL INDEX KEY: 0001022194 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 84TH FL CITY: NEW YORK STATE: NY ZIP: 10048 MAIL ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 84TH FL CITY: NEW YORK STATE: NY ZIP: 10048 5 1 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL 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 Sec- / / Form 3 Holdings Reported tion 16. Form 4 or Form 5 obligations / / Form 4 Transactions Reported may continue. See Instruction 1(b). 1. Name and Address of Reporting Person* Kopp Larry S. (Last) (First) (Middle) c/o Maxcor Financial Group Inc. Two World Trade Center, 84th Floor (Street) New York NY 10048 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Maxcor Financial Group Inc. (Common Stock: "MAXF") 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 4. Statement for Month/Year 12/99 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 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 4(b)(v).
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Secu- rities Bene- ficially 4. Securities Acquired (A) Owned at 6. Ownership 2. Trans- or Disposed of (D) end of Form: action (Instr. 3, 4 and 5) Issuer's Direct 7. Nature of Date 3. Trans- ----------------------------- Fiscal (D) or Indirect (Month/ action (A) Year Indirect Beneficial 1. Title of Security Day/ Code Amount or Price (Instr. (I) Ownership (Instr. 3) Year) (Instr. 8) (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- ---------- ------------- ------------ --- ---------- ----------- ------------- ---------------
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 Acquired (A) or (Month/Day/Year) Price of Date Disposed of (D) ---------------------- Deriv- (Month/ 4. Transac- (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ tion Code -------------------------- Exercis- Expiration (Instr. 3) Security Year) (Instr. 8) (A) (D) able Date - ---------------------------------------- ----------- ---------- ------------- ------------ ------------ ---------- ---------- a. Options -- Right to Buy $2.60 11/09/99 A 10,000 (1) 11/08/09 b. c. 9. Number of 10. Ownership Derivative of Securities Derivative 7. Title and Amount of Underlying Benefi- Security: Securities (Instr. 3 and 4) cially Direct 11. Nature of ---------------------------------------- 8. Price of Owned at (D) or Indirect Amount or Derivative End of Indirect Beneficial 1. Title of Derivative Title Number of Security Year (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - --------------------------- --------------------------- ----------- ------------- ------------- -------------- --------------- a. Common Stock 10,000 10,000 D b. c.
Explanation of Responses: (1) The reported transaction involved the grant of a non-qualified stock option on November 9, 1999, providing for vesting in equal 50% increments on each of the six-month and twelve-month anniversaries of the date of grant. /s/ Larry S. Kopp February 11, 2000 - --------------------------------------- -------------------------- **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. -----END PRIVACY-ENHANCED MESSAGE-----