-----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, IPhsegV+AgFT062lS39Ksnq/VBSH7DUXKO7PevfL84ZllzIcrM5StgFRYcPT00HI Q6suSDp8dzXjjDDU5phi+w== /in/edgar/work/0001019056-00-000530/0001019056-00-000530.txt : 20001011 0001019056-00-000530.hdr.sgml : 20001011 ACCESSION NUMBER: 0001019056-00-000530 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001010 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: 736930 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: LEWISOHN OSCAR M CENTRAL INDEX KEY: 0001103361 STANDARD INDUSTRIAL CLASSIFICATION: [ ]DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 84TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 MAIL ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 84TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 4 1 0001.txt FORM 4 FORM 4 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 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 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Lewisohn Oscar M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Soditic Limited Wellington House, 125 Strand - -------------------------------------------------------------------------------- (Street) London United Kingdom WC2R 0AP - -------------------------------------------------------------------------------- (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 09/2000 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( X ) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (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). Page 1
TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Transaction Date 3. Transaction Code 4. Securities Acquired (A) or (Instr. 3) (Month/Day/Year) (Instr. 8) Disposed of (D) (Instr. 3, 4 and 5) ------------------ ------------------------------------------ Code V Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ a. Common Stock, par value $.001 9/6/00 P 1100 A $1.53125 - ------------------------------------------------------------------------------------------------------------------------------------ b. Common Stock, par value $.001 9/6/00 P 5000 A $1.5625 - ------------------------------------------------------------------------------------------------------------------------------------ c. Common Stock, par value $.001 9/7/00 P 1000 A $1.50 - ------------------------------------------------------------------------------------------------------------------------------------ d. Common Stock, par value $.001 9/8/00 P 5000 A $1.50 - ------------------------------------------------------------------------------------------------------------------------------------ e. Common Stock, par value $.001 9/8/00 P 3000 A $1.625 - ------------------------------------------------------------------------------------------------------------------------------------ f. Common Stock, par value $.001 9/11/00 P 1000 A $1.875 - ------------------------------------------------------------------------------------------------------------------------------------ g. Common Stock, par value $.001 9/12/00 P 1000 A $1.750 - ------------------------------------------------------------------------------------------------------------------------------------ h. Common Stock, par value $.001 9/13/00 P 2900 A $1.8647 - ------------------------------------------------------------------------------------------------------------------------------------ - ---------------------------------------------------------------------------------------------------------- 5. Amount of Securities Beneficially 6. Ownership Form: 7. Nature of Indirect Owned at End of Month Direct (D) or Indirect (I) Beneficial Ownership (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ---------------------------------------------------------------------------------------------------------- a. - ---------------------------------------------------------------------------------------------------------- b. - ---------------------------------------------------------------------------------------------------------- c. - ---------------------------------------------------------------------------------------------------------- d. - ---------------------------------------------------------------------------------------------------------- e. - ---------------------------------------------------------------------------------------------------------- f. - ---------------------------------------------------------------------------------------------------------- g. - ---------------------------------------------------------------------------------------------------------- h. 20,000* D - ----------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 2
TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G, PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - -------------------------------------------------------------------------------------- 1. Title of 2. Conversion 3. Transaction 4. Transaction 5. Number of Derivative or Exercise Date Code Derivative Security Price of (Month/ (Instr. 8) Securities (Instr. 3) Derivative Day/ Acquired (A) Security Year) or Disposed of (D) -------------------------------------- Code V (A) (D) - -------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------
FORM 4 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (E.G., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------- 6. Date 7. Title and Amount 8. Price of 9. Number of 10. Ownership 11. Nature of Exercisable of Underlying Derivative Derivative Form of Indirect and Expiration Securities Security Securities Derivative Beneficial Date (Instr. 3 and 4) Beneficially Security: Ownership (Month/Day/Year) Owned at Direct (D) or (Instr. 4) End of Indirect (I) Month (Instr. 4) (Instr. 4) ------------------------------------------ Amount Date Expir- or Exer- ation Number cisable Date Title of Shares - ---------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------
Explanation of Responses: * In addition to the shares of the common stock, par value $.001 ("Common Stock"), of the Issuer reported herein as directly beneficially owned, the reporting person is a settlor, but neither a trustee nor a beneficiary, of a trust that, as of September 30, 2000, held 69,143 shares of Common Stock. The trust was established for the benefit of certain immediate family members who do not share the reporting person's household and the reporting person does not retain any power to revoke the trust. Accordingly, the reporting person disclaims beneficial ownership of, and any pecuniary interest in, the shares held by the trust. /s/ O. Lewisohn October 6, 2000 - ------------------------------------------------- ---------------------- **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). Note. File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 3 -----END PRIVACY-ENHANCED MESSAGE-----