-----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, L+2V6U7TQClnx9aWmfqwSmYqPw+VqFD9JhXqkEbmKkAPWrxgJTE0OgwtB/Ff9wK/ VTc4+MngTTOVV53CIsD7Tw== 0001019056-03-000137.txt : 20030214 0001019056-03-000137.hdr.sgml : 20030214 20030214081934 ACCESSION NUMBER: 0001019056-03-000137 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030214 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CLARK ROBIN A CENTRAL INDEX KEY: 0001074993 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25056 FILM NUMBER: 03562497 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 5 1 form5.txt FORM 5 - -------- FORM 5 - -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Form 3 Holdings Reported Filed pursuant to Section 16(a) of the Securities [ ] Form 4 Transactions Exchange Act of 1934, Section 17(a) of the Public Reported Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Clark Robin A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Euro Brokers Finacor Limited 133 Houndsditch - -------------------------------------------------------------------------------- (Street) London United Kingdom EC3A 7AJ - -------------------------------------------------------------------------------- (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 12/02 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [X] Other (specify below) Chief Executive Officer of London-based Issuer Subsidiary - -------------------------------------------------------------- - -------------------------------------------------------------------------------- 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). (Print or Type Responses) 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) --------------------------------------- Amount (A) or (D) Price - ---------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- a. - ---------------------------------------------------------------------------------------------------------------------- b. - ---------------------------------------------------------------------------------------------------------------------- c. - ---------------------------------------------------------------------------------------------------------------------- d. - ---------------------------------------------------------------------------------------------------------------------- e. - ---------------------------------------------------------------------------------------------------------------------- f. - ----------------------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------------------------------------------- 5. Amount of Securities Beneficially 6. Ownership Form: 7. Nature of Indirect Owned at End of Issuer's Fiscal Year Direct (D) or Indirect (I) Beneficial Ownership (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ---------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- a. - ---------------------------------------------------------------------------------------------------------------------- b. - ---------------------------------------------------------------------------------------------------------------------- c. - ---------------------------------------------------------------------------------------------------------------------- d. - ---------------------------------------------------------------------------------------------------------------------- e. - ---------------------------------------------------------------------------------------------------------------------- f. - ----------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) Page 2
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 ---------------------------------- (A) (D) - ------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------- a. Options -- Right to Buy $6.00 7/1/02 A 15,000 - ------------------------------------------------------------------------------------------------------------------------------- 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) Date Expiration Title Amount or End of Year or Indirect (I) Exercisable Date Number of (Instr. 4) Shares - ------------------------------------------------------------------------------------------------------------------------------------ a. (1) 6/30/12 Common Stock 15,000 15,000 D - ------------------------------------------------------------------------------------------------------------------------------------ b. - ------------------------------------------------------------------------------------------------------------------------------------ c. - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The reported transaction involved the grant of a non-qualified stock option on July 1, 2002, providing for vesting in equal 25% increments on each of the 1st, 2nd, 3rd and 4th anniversaries of the date of grant. /s/ ROBIN A. CLARK February 13, 2003 - ---------------------------------- ------------------------------- **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. (Print or Type Responses) Page 3 -----END PRIVACY-ENHANCED MESSAGE-----