0001019056-01-500471.txt : 20011018
0001019056-01-500471.hdr.sgml : 20011018
ACCESSION NUMBER: 0001019056-01-500471
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20010930
FILED AS OF DATE: 20011010
COMPANY DATA:
COMPANY CONFORMED NAME: VIGLIOTTI STEVEN R
CENTRAL INDEX KEY: 0001074992
STANDARD INDUSTRIAL CLASSIFICATION: []
OFFICER
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 TRADE CENTER
STREET 2: 884TH FLOOR
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: 1756065
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
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vigf4-0701.txt
FORM 4
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FORM 4
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[ ] 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
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1. Name and Address of Reporting Person*
Vigliotti Steven R.
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(Last) (First) (Middle)
c/o Maxcor Financial Group Inc.
One New York Plaza, 16th Floor
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(Street)
New York New York 10292
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Maxcor Financial Group Inc.
(Common Stock: "MAXF")
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
09/2001
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
( ) Director ( ) 10% Owner
(X) Officer (give title below) ( ) Other (specify below)
Treasurer
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7. Individual or Joint/Group Filing (Check applicable line)
(X) Form filed by One Reporting Person
( ) Form filed by More than One Reporting Person
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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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)
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Code V Amount (A) or (D) Price
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a. Common Stock, par value $.001 9/05/01 P 2,000 A $3.83
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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)
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a. 10,200 D
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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)
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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)
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Code V (A) (D)
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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)
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Date Expir- Amount or
Exer- ation Number
cisable Date Title of Shares
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Explanation of Responses:
/s/ STEVEN R. VIGLIOTTI October 10, 2001
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**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.
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