4 1 vigf4-0701.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* Vigliotti Steven R. -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Maxcor Financial Group Inc. One New York Plaza, 16th Floor -------------------------------------------------------------------------------- (Street) New York New York 10292 -------------------------------------------------------------------------------- (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 09/2001 -------------------------------------------------------------------------------- 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) Treasurer ------------------------------------- -------------------------------------------------------------------------------- 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 9/05/01 P 2,000 A $3.83 ------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------- 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. 10,200 D ----------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 2
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: /s/ STEVEN R. VIGLIOTTI October 10, 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