5 1 0001.txt FORM 5 ------ FORM 5 ------ [ ] Check box if no longer U.S. SECURITIES AND EXCHANGE COMMISSION subject to Section 16. WASHINGTON, D.C. 20549 Form 4 or Form 5 obligations may continue. See Instruction 1(b) ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Form 3 Holdings Reported Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public [ ] Form 4 Transactions Utility Holding Company Act of 1935 or Section 30(f) Reported of the Investment Company Act of 1940 -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Reihl Keith E. -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Maxcor Financial Group Inc. Two World Trade Center, 84th Floor -------------------------------------------------------------------------------- (Street) New York NY 10048 -------------------------------------------------------------------------------- (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 12/2000 -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Chief Financial Officer -------------------------------------------------------------------------------- 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). 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) --------------------------------------------------- Amount (A)or (D) Price ------------------------------------------------------------------------------------------------------------------------------------ a. ------------------------------------------------------------------------------------------------------------------------------------ b. ------------------------------------------------------------------------------------------------------------------------------------ c. ------------------------------------------------------------------------------------------------------------------------------------ d. ------------------------------------------------------------------------------------------------------------------------------------ e. ------------------------------------------------------------------------------------------------------------------------------------ f. ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of Securities Beneficially 6. Ownership Form: 7. Nature of Indirect Owned at End of Issuer's Fiscal Year Direct (D) or Indirect (I) Beneficial Ownership (Instr. 3 and 4) (Instr. 4) (Instr. 4) -------------------------------------------------------------------------------------------------------------------------- a. -------------------------------------------------------------------------------------------------------------------------- b. -------------------------------------------------------------------------------------------------------------------------- c. -------------------------------------------------------------------------------------------------------------------------- d. -------------------------------------------------------------------------------------------------------------------------- e. -------------------------------------------------------------------------------------------------------------------------- f. --------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. 2
FORM 5 (continued) 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/Day/Year) (Instr. 8) Securities (Instr. 3) Derivative Acquired (A) Security or Disposed of (D) (Instr. 3, 4 and 5) ---------------- (A) (D) --------------------------------------------------------------------------------- a. Options -- Right to Buy $2.61 2/15/00 A 40,000 --------------------------------------------------------------------------------- b. --------------------------------------------------------------------------------- c. --------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------- 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) (Instr. 5) Beneficially Security: Ownership (Month/Day/Year) Owned at Direct (D) or (Instr. 4) End of Indirect (I) Year (Instr. 4) (Instr. 4) ------------------------------------------ Amount Date Expir- or Exer- ation Number cisable Date Title of Shares ----------------------------------------------------------------------------------------------------------- a. (1) 2/14/10 Common Stock 40,000 40,000 D ----------------------------------------------------------------------------------------------------------- b. ----------------------------------------------------------------------------------------------------------- c. -----------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The reported transaction involved the grant of an incentive stock option on February 15, 2000, providing for vesting in equal 25% increments on each of the 1st, 2nd, 3rd and 4th anniversaries of the date of grant. /s/ KEITH E. REIHL February 12, 2001 ------------------------------- ----------------- **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. 3