-----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, IHdMk0WEF3xhfm9VfUVfLzM1dTYkqfKUDbhJXWGW6DEUIIJcdFxxTJYlNP3FkEMT hTK/5d+I1zI8QypzFxS3sA== 0000950131-03-000556.txt : 20030211 0000950131-03-000556.hdr.sgml : 20030211 20030211171139 ACCESSION NUMBER: 0000950131-03-000556 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030211 GROUP MEMBERS: A.R. THANE RITCHIE GROUP MEMBERS: RAM CAPITAL INVESTMENTS, LTD. GROUP MEMBERS: RAM CAPITAL, L.L.C. GROUP MEMBERS: RAM TRADING, LTD. GROUP MEMBERS: THR, INC. 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 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46870 FILM NUMBER: 03550819 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: RITCHIE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001109424 IRS NUMBER: 364193982 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 210 E STATE STREET CITY: BATAVIA STATE: IL ZIP: 60510 BUSINESS PHONE: 6307612200 MAIL ADDRESS: STREET 1: 210 E STATE STREET CITY: BATAVIA STATE: IL ZIP: 60510 SC 13G/A 1 dsc13ga.txt AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 1 )* MAXCOR FINANCIAL GROUP INC. ---------------------------------------------------- (Name of Issuer) Common Stock, $0.001 par value per share ---------------------------------------------------- (Title of Class of Securities) 57772G100 ----------------------------------- (CUSIP Number) December 31, 2002 ---------------------------------------------------- Date of Event Which Requires Filing of the Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) *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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 12 - ------------------------------- ------------------------ Cusip No. 57772G100 Page 2 of 12 - ------------------------------- ------------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name RAM Trading, Ltd. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands corporation Cayman Islands - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 431,300 shares of Common Stock EACH ----------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002). - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- - ------------------------------- ------------------------ Cusip No. 57772G100 Page 3 of 12 - ------------------------------- ------------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Ritchie Capital Management, L.L.C. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware limited liability company U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 431,300 shares of Common Stock EACH ----------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002). - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* OO; HC - -------------------------------------------------------------------------------- - ------------------------------- ------------------------ Cusip No. 57772G100 Page 4 of 12 - ------------------------------- ------------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name RAM Capital, L.L.C. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Illinois limited liability company U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 431,300 shares of Common Stock EACH ----------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002). - ------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* OO; HC - -------------------------------------------------------------------------------- - ------------------------------- ----------------------- Cusip No. 57772G100 Page 5 of 12 - ------------------------------- ------------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name RAM Capital Investments, Ltd. - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands corporation Cayman Islands - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 431,300 shares of Common Stock EACH ----------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002). - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO; HC - ------------------------------------------------------------------------------- - ------------------------------- ----------------------- Cusip No. 57772G100 Page 6 of 12 - ------------------------------- ------------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name THR, Inc. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Illinois corporation U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 431,300 shares of Common Stock EACH ----------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002). - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO; HC - -------------------------------------------------------------------------------- - ------------------------------- ----------------------- Cusip No. 57772G100 Page 7 of 12 - ------------------------------- ------------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name A. R. Thane Ritchie - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 431,300 shares of Common Stock EACH ----------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002). - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN; HC - -------------------------------------------------------------------------------- - ------------------------------- ----------------------- Cusip No. 57772G100 Page 8 of 12 - ------------------------------- ------------------------ SCHEDULE 13G Item 1(a) Name of Issuer: MAXCOR FINANCIAL GROUP INC. 1(b) Address of Issuer's Principal Executive Offices: One New York Plaza-16th Floor New York, New York 10292 Item 2(a) Name of Person Filing Item 2(b) Address of Principal Business Office Item 2(c) Citizenship RAM Trading, Ltd. c/o Caledonian Bank & Trust Limited Caledonian House P.O. Box 1043 George Town, Grand Cayman Cayman Islands corporation Ritchie Capital Management, L.L.C. 210 East State Street Batavia, Illinois 60510 Delaware limited liability company RAM Capital, L.L.C. 210 East State Street Batavia, Illinois 60510 Illinois limited liability company RAM Capital Investments, Ltd. c/o Caledonian Bank & Trust Limited Caledonian House P.O. Box 1043 George Town, Grand Cayman Cayman Islands corporation THR, Inc. 210 East State Street Batavia, Illinois 60510 Illinois corporation - ------------------------------- ------------------------ Cusip No. 57772G100 Page 9 of 12 - ------------------------------- ------------------------ A.R. Thane Ritchie 210 East State Street Batavia, Illinois 60510 U.S. Citizen 2(d) Title of Class of Securities: Common Stock, $0.001 par value per share 2(e) CUSIP Number: 57772G100 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act; (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [_] Investment company registered under Section 8 of the Investment Company Act; (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] - ------------------------------- ------------------------ Cusip No. 57772G100 Page 10 of 12 - ------------------------------- ------------------------ Item 4 Ownership: RAM TRADING, LTD. RITCHIE CAPITAL MANAGEMENT, L.L.C. RAM CAPITAL, L.L.C. RAM CAPITAL INVESTMENTS, LTD. THR, INC. A.R. THANE RITCHIE (a) Amount beneficially owned: SHARED VOTING POWER 431,300 shares of Common Stock (b) Percent of Class: PERCENT OF CLASS REPRESENTED BY AMOUNT IN ITEM (a) ABOVE Approximately 5.9% as of December 31, 2002. (Based on 7,267,124 shares of Common Stock issued and outstanding as of November 13, 2002.) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: See item (a) above. (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: See item (a) above. Item 5 Ownership of Five Percent or Less of a Class: Not Applicable. - ------------------------------- ------------------------ Cusip No. 57772G100 Page 11 of 12 - ------------------------------- ------------------------ Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable. Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable. Item 8 Identification and Classification of Members of the Group: Not Applicable. Item 9 Notice of Dissolution of Group: Not Applicable. Item 10 Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. - ------------------------------- ------------------------ Cusip No. 57772G100 Page 12 of 12 - ------------------------------- ------------------------ After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated this 10th day of February, 2003 RAM TRADING, LTD. RAM CAPITAL, L.L.C. By: Ritchie Capital Management, L.L.C., By: Ritchie Capital Management, L.L.C., its Investment Manager its Investment Manager By: THR, Inc. By: THR, Inc. By: /s/ A.R. Thane Ritchie By: /s/ A.R. Thane Ritchie ------------------------------- ---------------------------------- A.R. Thane Ritchie, President A.R. Thane Ritchie, President RITCHIE CAPITAL MANAGEMENT, L.L.C. RAM CAPITAL INVESTMENTS, LTD. By: THR, Inc. By: Ritchie Capital Management, L.L.C., its Investment Manager By: /s/ A.R. Thane Ritchie By: THR, Inc. ----------------------------------- A.R. Thane Ritchie, President By: /s/ A.R. Thane Ritchie ---------------------------------- A.R. Thane Ritchie, President /s/ A.R. Thane Ritchie THR, INC. - ------------------------------------------ A.R. Thane Ritchie By: /s/ A.R. Thane Ritchie ------------------------------------------ A.R. Thane Ritchie, President
-----END PRIVACY-ENHANCED MESSAGE-----