-----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, MRZHFeK3mEEFldK3ChnMFGdYEStYH1jr88dODftELjNM0iT48RnK+FQPwDy5Z1j9 jIKZN1Mp+uGhHu86VRoZ/Q== 0001019056-03-001399.txt : 20031209 0001019056-03-001399.hdr.sgml : 20031209 20031209132933 ACCESSION NUMBER: 0001019056-03-001399 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031205 FILED AS OF DATE: 20031209 ISSUER: 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 BUSINESS ADDRESS: STREET 1: ONE SEAPORT PLAZA STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 6463467000 MAIL ADDRESS: STREET 1: ONE SEAPORT PLAZA STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10038 FORMER COMPANY: FORMER CONFORMED NAME: FINANCIAL SERVICES ACQUISITION CORP /DE/ DATE OF NAME CHANGE: 19941020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHARF MICHAEL J CENTRAL INDEX KEY: 0000934975 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25056 FILM NUMBER: 031044369 BUSINESS ADDRESS: STREET 1: P O BOX 1592 CITY: PONTE VEDRA BEACH STATE: FL ZIP: 32004 BUSINESS PHONE: 2123171000 MAIL ADDRESS: STREET 1: PO BOX 1592 CITY: PONTE VEDRA BEACH STATE: FL ZIP: 32004 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-12-05 0000931707 MAXCOR FINANCIAL GROUP INC MAXF 0000934975 SCHARF MICHAEL J C/O MAXCOR FINANCIAL GROUP INC. ONE SEAPORT PLAZA, 19TH FLOOR NEW YORK NY 10038 1000Common Stock, par value $.0012003-12-054M0100002.00A444584DCommon Stock, par value $.0012003-12-054M0100002.60A454584DCommon Stock, par value $.0012003-12-054M0100003.00A464584DCommon Stock, par value $.0012003-12-054M0100006.00A474584DCommon Stock, par value $.0012003-12-054F01054612.895D464038DCommon Stock, par value $.0013733IHeld by Michael J. Scharf 1987 Grantor Income Trust (of which the reporting person is a trustee)Common Stock, par value $.0019500IHeld by Scharf Family 1989 Trust (of which the reporting person is a trustee)Option -- Right to Buy2.002003-12-054M0100000D1999-02-142008-08-13Common Stock100000DOption -- Right to Buy2.602003-12-05< /value>4M0100000D2000-05-092009-11-08Common Stock100000DOption -- Right to Buy3.002003-12-054M0100000D2002-01-032011-07-02Common Stock100000DOption -- Right to Buy6.002003-12-054M0100000D2003-01-012012-06-30Common Stock100000DThe stock option was granted on August 14, 1998 and became exercisable in equal 50% increments on each of the six-month and twelve-month anniversaries of the date of grant.The stock option was granted on November 9, 1999 and became exercisable in equal 50% increments on each of the six-month and twelve-month anniversaries of the date of grant.The stock option was grant ed on July 3, 2001 and became exercisable in equal 50% increments on each of the six-month and twelve-month anniversaries of the date of grant.The stock option was granted on July 1, 2002 and became exercisable in equal 50% increments on each of the six-month and twelve-month anniversaries of the date of grant.Michael J. Scharf2003-12-09 -----END PRIVACY-ENHANCED MESSAGE-----