4 1 reihl_form4.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 Reihl Keith E. -------------------------------------------------------------------------------- (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 07/2002 -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Chief Operating Officer -------------------------------------------------------------- -------------------------------------------------------------------------------- 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 7/23/02 P 2,000 A $4.60 -------------------------------------------------------------------------------------------------------------------------- b. -------------------------------------------------------------------------------------------------------------------------- c. -------------------------------------------------------------------------------------------------------------------------- d. --------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------- 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. 192,780 D --------------------------------------------------------------------------------------------------------------------- b. --------------------------------------------------------------------------------------------------------------------- c. --------------------------------------------------------------------------------------------------------------------- d. ---------------------------------------------------------------------------------------------------------------------
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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 Derivative Security 2. Conversion or 3. Transaction Date 4. Transaction 5. Number of Derivative Securities (Instr. 3) Exercise Price (Month/Day/Year) Code Acquired (A) or Disposed of (D) of Derivative (Instr. 8) (Instr. 3, 4 and 5) Security ------------------------------------------------------- Code V (A) (D) ----------------------------------------------------------------------------------------------------------------------------------- a. ----------------------------------------------------------------------------------------------------------------------------------- b. ----------------------------------------------------------------------------------------------------------------------------------- c. -----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------- 6. Date Exercisable 7. Title and Amount of Underlying 8. Price of 9. Number of 10. Ownership 11. Nature of and Expiration Securities Derivative Derivative Form of Indirect Date (Instr. 3 and 4) Security Securities Derivative Beneficial (Month/Day/Year) (Instr. 5) Beneficially Security: Ownership Owned at Direct (D) (Instr. 4) ---------------------------------------------------------- End of Month or Indirect (I) Date Expiration Title Amount or (Instr. 4) Exercisable Date Number of Shares ----------------------------------------------------------------------------------------------------------------------------------- a. ----------------------------------------------------------------------------------------------------------------------------------- b. ----------------------------------------------------------------------------------------------------------------------------------- c. -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: /s/ KEITH E. REIHL August 9, 2002 ------------------------------------ ------------------------ **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