-----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, SLgCgMiRK4ivU25wLjjNSvdMqGd7L6mmcfd04vr7meiCGxXEHzk3MQ7H81yvVqBZ Oa/a2foBVGwQeGFDOWsE2g== 0000904454-99-000118.txt : 19990712 0000904454-99-000118.hdr.sgml : 19990712 ACCESSION NUMBER: 0000904454-99-000118 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990709 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: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-46439 FILM NUMBER: 99661716 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WELSH CARSON ANDERSON & STOWE VI LP CENTRAL INDEX KEY: 0001006742 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 32O PARK AVENUE STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 320 PARK AVENUE STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 SC 13D/A CUSIP NO. 31769Q-10-8 Page 1 of 6 Pages SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Final Amendment)[FN1] Maxcor Financial Group Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 31769Q-10-8 (CUSIP Number) Welsh, Carson, Anderson William J. Hewitt, Esq. & Stowe VI, L.P. Reboul, MacMurray, Hewitt, 320 Park Avenue, Suite 2500 Maynard & Kristol New York, New York 10022 45 Rockefeller Plaza Attention: Laura VanBuren New York, New York 10111 Tel. (212) 893-9500 Tel. (212) 841-5700 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 17, 1999 (Date of Event Which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. [FN1] The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. CUSIP NO. 31769Q-10-8 Page 2 of 6 Pages 1) Name of Reporting Person Welsh, Carson, Ander- I.R.S. Identification son & Stowe VI, L.P. No. of Above Person (Entities Only) 2) Check the Appropriate Box (a) [X] if a Member of a Group (b) [ ] 3) SEC Use Only 4) Source of Funds Not Applicable 5) Check if Disclosure of Legal Proceedings Is Not Applicable Required Pursuant to Items 2(d) or 2(e) 6) Citizenship or Place of Organization Delaware Number of 7) Sole Voting -0- Shares Beneficially Power Owned by Each Reporting Person With 8) Shared Voting Power -0- 9) Sole Disposi- -0- tive Power 10) Shared Dis- positive Power -0- 11) Aggregate Amount Beneficially -0- Owned by Each Reporting Person 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares 13) Percent of Class Represented by -0- Amount in Row (11) 14) Type of Reporting Person PN CUSIP NO. 31769Q-10-8 Page 3 of 6 Pages 1) Name of Reporting Person WCAS Information I.R.S. Identification Partners, L.P. No. of Above Person (Entities Only) 2) Check the Appropriate Box (a) [X] if a Member of a Group (b) [ ] 3) SEC Use Only 4) Source of Funds Not Applicable 5) Check if Disclosure of Legal Proceedings Is Not Applicable Required Pursuant to Items 2(d) or 2(e) 6) Citizenship or Place of Organization Delaware Number of 7) Sole Voting 50,248 shares of Shares Beneficially Power Common Stock Owned by Each Reporting Person With 8) Shared Voting Power -0- 9) Sole Disposi- 50,248 shares of tive Power Common Stock 10) Shared Dis- positive Power -0- 11) Aggregate Amount Beneficially 50,248 shares of Owned by Each Reporting Person Common Stock 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares 13) Percent of Class Represented by 0.4% Amount in Row (11) 14) Type of Reporting Person PN CUSIP NO. 31769Q-10-8 Page 4 of 6 Pages Final Amendment to Schedule 13D Reference is hereby made to the statement on Schedule 13D originally filed with the Securities and Exchange Commission (the "Commission") on August 23, 1996 and Amendment No. 1 thereto filed on February 27, 1998 (as so amended, the "Schedule 13D"). Terms defined in the Schedule 13D are used herein as so defined. The Schedule 13D is hereby amended as follows: Item 2. Identity and Background. Item 2 is hereby amended by removing Richard H. Stowe and James B. Hoover and adding Paul B. Queally as General Partners of VI Partners. Item 5. Interest in Securities of the Issuer. Item 5 is hereby amended and restated to read in its entirety as follows: The following information is based on a total of 11,323,782 shares of Common Stock outstanding as of May 12, 1999, as reported in the Issuer's Report on Form 10-Q for the period ended March 31, 1999, as filed with the Commission on May 17, 1999: (a) WCAS VI and VI Partners WCAS VI and VI Partners own no shares of Common Stock. WCAS IP and INFO Partners WCAS IP owns 50,248 shares of Common Stock, or approximately 0.4% of the Common Stock outstanding. INFO Partners, as the general partner of WCAS IP, may be deemed to beneficially own the securities owned by WCAS IP. General Partners of VI Partners and INFO Partners (i) Russell L. Carson owns 29,647 shares of Common Stock, or approximately 0.3% of the Common Stock outstanding. (ii) Andrew M. Paul owns 7,535 shares of Common Stock, or approximately 0.1% of the Common Stock outstanding. CUSIP NO. 31769Q-10-8 Page 5 of 6 Pages (iii) Thomas E. McInerney owns 10,047 shares of Common Stock, or approximately 0.1% of the Common Stock outstanding. (iv) Laura VanBuren owns 1,255 shares of Common Stock, or less than 0.1% of the Common Stock outstanding. (v) Robert A. Minicucci owns 10,047 shares of Common Stock, or approximately 0.1% of the Common Stock outstanding. (vi) Anthony J. deNicola owns 2,511 shares of Common Stock, or less than 0.1% of the Common Stock outstanding. (b) The general partners of each of VI Partners and INFO Partners may be deemed to share the power to vote or direct the voting of and to dispose or direct the disposition of the Common Stock owned by WCAS VI and WCAS IP, respectively. Each of the general partners of VI Partners and INFO Partners disclaims beneficial ownership of all shares of Common Stock other than the shares he or she owns directly or by virtue of his or her indirect pro rata interest, as a general partner of VI Partners and/or INFO Partners, as the case may be, in the shares owned by WCAS VI and/or WCAS IP. (c) On June 17, 1999, WCAS VI sold an aggregate 2,936,097 shares of Common Stock in open market transactions, at an average price of $1.42 per share. (d) Except as described in this statement, no person has the power to direct the receipt of dividends on or the proceeds of sales of the shares of Common Stock owned by WCAS VIII. (e) The Reporting Persons ceased to be the beneficial owners of more than five percent of the Common Stock on June 17, 1999. CUSIP NO. 31769Q-10-8 Page 6 of 6 Pages Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: July 9, 1999 WELSH, CARSON, ANDERSON & STOWE VI, L.P. By: WCAS VI Partners, L.P., General Partner By: /s/ Jonathan M. Rather Attorney-in-Fact WCAS INFORMATION PARTNERS, L.P. By: WCAS INFO Partners, General Partner By: /s/ Jonathan M. Rather Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----