-----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, WPVyv7cx//KRaHdioHFegHkirPg15Tm27kHkdIGpK25YuivsovGoSXaNJAFnYrf0 FJyero4/FNxdR563fXkaQQ== 0000889812-99-000072.txt : 19990111 0000889812-99-000072.hdr.sgml : 19990111 ACCESSION NUMBER: 0000889812-99-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990108 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: 99503082 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: SCHARF GILBERT D CENTRAL INDEX KEY: 0000936895 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 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 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 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* Scharf Gilbert D. (Last) (First) (Middle) P.O. Box 1124 (Street) Ponte Vedra Beach Florida 32004 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Maxcor Financial Group Inc. (Common Stock: "MAXF") 3. IRS Identification Number of Reporting Person, if an Entity (voluntary) 4. Statement for Month/Year 12/98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) /X/ Director /X/ 10% Owner /X/ Officer (give title below) / / Other (specify below) President, Chairman of the Board and Chief Executive Officer 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 $.001 411,294 I By Gilbert D. Scharf Living Trust (of which the Reporting Person is sole trustee) b. Common Stock, par value $.001 12/09/98 P 5,000 A $1.00 D c. Common Stock, par value $.001 12/11/98 P 1,000 A $1.00 D d. Common Stock, par value $.001 12/22/98 P 1,000 A $0.96875 D e. Common Stock, par value $.001 12/22/98 P 10,700 A $1.00 D f. Common Stock, par value $.001 12/22/98 P 3,800 A $1.03125 D g. Common Stock, par value $.001 12/22/98 P 5,200 A $1.0625 D h. Common Stock, par value $.001 12/23/98 P 6,000 A $1.00 D i. Common Stock, par value $.001 12/28/98 P 1,500 A $1.125 639,539 D
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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: /s/ Gilbert D. Scharf January 8, 1999 - --------------------------------------- -------------------------- **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). -----END PRIVACY-ENHANCED MESSAGE-----