4 1 0001.txt 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 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* Schwed Roger E. (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. (Common Stock : "MAXF") 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 4. Statement for Month/Year 08/2000 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) / / Director / / 10% Owner /X/ Officer (give title below) / / Other (specify below) Vice Predident & General Counsel 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 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 Direct 7. Nature of Date Code ----------------------------- at End (D) or Indirect (Month/ (Instr. 8) (A) of 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 $.001 8/30/00 P 2000 A $1.375 12,000 D* b. Common Stock par value $.001 2,000 I Held in UGMA account of minor child
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 ---------------------------------------- ----------- ---------- ------ ----- ------------ ------------ ---------- ---------- 9. Number of 10. Ownership Derivative Form 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 Month (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) --------------------------- --------------------------- ----------- ------------- ------------- -------------- ---------------
Explanation of Responses: * Jointly owned with spouse /s/ Roger E. Schwed September 8, 2000 --------------------------------------- -------------------------- Date **Signature of Reporting Person ** 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.