-----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, RXbncNMQMPKknoJtkE7vcDhyxFSi1LWLYd4VKkwllU+yGpMBXSSZEhLsAHZc0dWI 69xXdDx3xZe55DYsIfwI5w== 0001019056-01-000082.txt : 20010213 0001019056-01-000082.hdr.sgml : 20010213 ACCESSION NUMBER: 0001019056-01-000082 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010212 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: 5 SEC ACT: SEC FILE NUMBER: 000-25056 FILM NUMBER: 1532932 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: SCHWED ROGER E CENTRAL INDEX KEY: 0001032534 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER 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 FL CITY: NEW YORK STATE: NY ZIP: 10048 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* Schwed Roger 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) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Vice-President, General Counsel and Secretary - -------------------------------------------------------------------------------- 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 30,000 - --------------------------------------------------------------------------------- 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 30,000 30,000 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/ ROGER E. SCHWED 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 -----END PRIVACY-ENHANCED MESSAGE-----