4 1 clark_4.txt FORM 4
------ -------------------------------- FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL ------ WASHINGTON, D.C. 20549 -------------------------------- OMB Number: 3235-0287 [ ] Check this box if no longer STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires: January 31, 2005 subject to Section 16. Form 4 Estimated average burden or Form 5 obligations may hours per response..........0.5 continue. See Instruction 1(b) -------------------------------- 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(h) of the Investment Company Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer (Check all applicable) Clark Robin A. Maxcor Financial Group Inc. (Common Stock: "MAXF") ---------------------------------------------------------------------------------------------- (Last) (First) (Middle) 3. IRS Identifi- 4. Statement for Month/Day/Year [X] Director [ ] 10% Owner cation Number [ ] Officer [X] Other of Reporting (give title (specify below) Person, if an below) entity c/o Euro Brokers Finacor Ltd., (voluntary) 133 Houndsditch 11/12/2002 CEO of London-based Issuer Subsidiary --------------------------------------- ------------------------------------------------------------------------ (Street) 5. If Amendment, Date of 7. Individual or Joint/Group Filing Original (Month/Day/Year) (check applicable line) [X] Form Filed by One Reporting Person [ ] Form Filed by More than One London, U.K. EC3A 7AJ Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Trans- 2A.Deemed 3.Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership Form: 7. Nature of of action Execution action or Disposed of (D) Securities Direct (D) or Indirect Security Date Date,if Code (Instr. 3,4 and 5) Beneficially Indirect (I) Beneficial (Instr.3) any (Instr.8) Owned Following (Instr. 4) Ownership (Month/Day/ Reported (Instr. 4) (Month/ Year) Transaction(s) Day/Year) (Instr. 3 and 4) -------------------------------------------- Code V Amount (A) or (D) Price ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, 7-17-2002 P4 2,500 A $5.33 I By self- par value $.001 investing pension account of the Reporting Person ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, 11-12-2002 P 4,000 A $6.22 36,130 I By self- par value $.001 invensting pension account of the Reporting Person ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, 11-13-2002 D(1) 2,500 D $5.33 D par value $.001 ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, 11-13-2002 D(1) 4,000 D $6.22 13,060 D par value $.001 ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see instruction 4(b)(v). Potential Persons who respond to the collection of information contained In this form are not required to respond unless the form displays a currently valid OMB control number. (Over) SEC 1474 (9-02)
FORM 4 (continued) 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 3A.Deemed 4. Transaction 5. Number of Derivative or Exercise Date Execution Code Derivative Security Price of (Month/Day/ Date, if (Instr. 8) Securities (Instr. 3) Derivative Year) any Acquired (A) Security (Mo/Dy/Yr) or Disposed of (D) (Instr. 3, 4, and 5) -------------------------------------- Code V (A) (D) --------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------
FORM 4 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (E.G., puts, calls, warrants, options, convertible securities) ----------------------------------------------------------------------------------------------------------- 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) (Instr. 5) Owned Follow- Direct (D) or (Instr. 4) ing Reported Indirect (I) Transactions(s) (Instr. 4) (Instr. 4) ------------------------------------------ Amount Date Expir- or Exer- ation Number cisable Date Title of Shares ----------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------- -----------------------------------------------------------------------------------------------------------
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 November 13, 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.