-----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, CeTV5J2SghN2OI83d8BgSBig3SsOzZz83jsfSnEGH1mJJddVqdRaYP8/N4f8yw33 yJCIvSEvlRMqUG6eBCPS+g== 0001019056-01-500304.txt : 20010807 0001019056-01-500304.hdr.sgml : 20010807 ACCESSION NUMBER: 0001019056-01-500304 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010731 FILED AS OF DATE: 20010806 COMPANY DATA: COMPANY CONFORMED NAME: SCHWED ROGER E CENTRAL INDEX KEY: 0001032534 STANDARD INDUSTRIAL CLASSIFICATION: TEXTILE MILL PRODUCTS [2200] OFFICER FILING VALUES: FORM TYPE: 4 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25056 FILM NUMBER: 1698611 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 4 1 schwedf4-0701.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* Schwed Roger E. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Maxcor Financial Group Inc. Two World Trade Center, 84th floor - -------------------------------------------------------------------------------- (Street) New York New York 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 07/2001 - -------------------------------------------------------------------------------- 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 and General Counsel - ----------------------------------------------- - -------------------------------------------------------------------------------- 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 7/16/01 P 2,000 A $3.05 - ------------------------------------------------------------------------------------------------------------------------------------ b. Common Stock, par value $.001 - ------------------------------------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------------------------------- 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. 14,000 D* - ---------------------------------------------------------------------------------------------------------- b. 2,000 I Held in UGMA account of minor child - ---------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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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) (Instr. 3, 4 and 5) -------------------------------------- Code V (A) (D) - -------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------------------------------- 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) Month (Instr. 4) ------------------------------------------ Date Expir- Amount or Exer- ation Number cisable Date Title of Shares ------------------------------------------ - ---------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------
Explanation of Responses: *Jointly owned with spouse. /s/ ROGER E. SCHWED August 6, 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 -----END PRIVACY-ENHANCED MESSAGE-----