4 1 file001.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* Clark Robin A. -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Euro Brokers Finacor Limited 133 Houndsditch -------------------------------------------------------------------------------- (Street) London United Kingdom EC3A 7AJ -------------------------------------------------------------------------------- (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 4/2001 -------------------------------------------------------------------------------- 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) (X) Other (specify below) Chief Executive Officer of London-based Issuer Subsidiary -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person -------------------------------------------------------------------------------- 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 4/16/01 D(1) V 33,300 D $2.25 ------------------------------------------------------------------------------------------------------------------------------------ b. Common Stock, par value $.001 4/19/01 P 4,560 A $2.25 ------------------------------------------------------------------------------------------------------------------------------------ c. Common Stock, par value $.001 4/19/01 P 10,000 A $2.25 ------------------------------------------------------------------------------------------------------------------------------------ d. Common Stock, par value $.001 4/19/01 P 10,000 A $2.27 ------------------------------------------------------------------------------------------------------------------------------------ e. Common Stock, par value $.001 4/19/01 P 3,000 A $2.29 ------------------------------------------------------------------------------------------------------------------------------------ f. Common Stock, par value $.001 4/26/01 P 5,000 A $2.85 ------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------- 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. 17,060 D ---------------------------------------------------------------------------------------------------------- c. I By self-investing pension account of the Reporting Person ---------------------------------------------------------------------------------------------------------- d. I By self-investing pension account of the Reporting Person ---------------------------------------------------------------------------------------------------------- e. I By self-investing pension account of the Reporting Person ---------------------------------------------------------------------------------------------------------- f. 28,000 I By self-investing pension account of the Reporting Person ----------------------------------------------------------------------------------------------------------
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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 (Month/ Code Derivative Security Price of Day/Year) (Instr. 8) Securities (Instr. 3) Derivative Acquired (A) Security or Disposed of (D) -------------------------------------- Code V (A) (D) -------------------------------------------------------------------------------------- a. -------------------------------------------------------------------------------------- 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) 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 ------------------------------------------ ---------------------------------------------------------------------------------------------------------- a. ---------------------------------------------------------------------------------------------------------- b. ---------------------------------------------------------------------------------------------------------- c. ----------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Exempt disposition to the Issuer, pursuant to Rule 16b-3(e), made to facilitate transfer of share ownership from personal accounts of the Reporting Person to a self-investing pension account of the Reporting Person. /s/ ROBIN A. CLARK May 8, 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. Page 3