-----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, Ch1N00Lyr1kNJLyIlF3yT7H8ysvo3ouFYNALPscYb7ngcvhbaGE7wncL5h29a5G4 OKLHztuWQ2Ene1Drva4mnw== /in/edgar/work/20000908/0000889812-00-003777/0000889812-00-003777.txt : 20000922 0000889812-00-003777.hdr.sgml : 20000922 ACCESSION NUMBER: 0000889812-00-003777 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000831 FILED AS OF DATE: 20000908 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAXCOR FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000931707 STANDARD INDUSTRIAL CLASSIFICATION: [6211 ] 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: 719557 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: SCHWED ROGER E CENTRAL INDEX KEY: 0001032534 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER 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 FL CITY: NEW YORK STATE: NY ZIP: 10048 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. -----END PRIVACY-ENHANCED MESSAGE-----