SCHWED ROGER E 4

4 · MAXCOR FINANCIAL GROUP INC · Filed Aug 6, 2003

Form 4

Period: 2003-08-04

Exec VP, Gen Counsel & Secy

Transactions

Exercise/Conversion
Option -- Right to Buy
2003-08-04−22,500→ 0 total
Exercise: $2.61From: 2001-02-15Exp: 2010-02-14→ Common Stock (22,500 underlying)
Exercise/Conversion
Common Stock, par value $.001
2003-08-04$2.00/sh+25,000$50,000→ 29,519 total
Exercise/Conversion
Common Stock, par value $.001
2003-08-04$2.00/sh+20,000$40,000→ 74,519 total
Exercise/Conversion
Common Stock, par value $.001
2003-08-04$2.61/sh+22,500$58,725→ 97,019 total
Tax Payment
Common Stock, par value $.001
2003-08-04$13.27/sh−14,981$198,723→ 4,519 total
Exercise/Conversion
Option -- Right to Buy
2003-08-04−20,000→ 0 total
Exercise: $2.00From: 1999-08-14Exp: 2008-08-13→ Common Stock (20,000 underlying)
Exercise/Conversion
Option -- Right to Buy
2003-08-04−25,000→ 0 total
Exercise: $2.00From: 1997-10-01Exp: 2006-09-30→ Common Stock (25,000 underlying)

Holdings

Footnotes (5)

[F1]The reported transactions relate to the Reporting Person's exercise of stock option grants and payment of the related exercise prices through the delivery of shares of common stock held by the Reporting Person, individually or jointly with his spouse. Of the 14,981 shares delivered to pay exercise prices, 11,000 were jointly owned by the Reporting Person and his spouse. Of the 97,019 shares held after exercise of all options reported herein, 4,500 are jointly owned by the Reporting Person and his spouse.
[F2]The stock option was granted on October 1, 1996 and became exercisable in equal 20% increments on each of the 1st, 2nd, 3rd, 4th and 5th anniversaries of the date of grant.
[F3]The stock option was granted on February 4, 1997 and became exercisable in equal 20% increments on each of the 1st, 2nd, 3rd, 4th and 5th anniversaries of the date of grant.
[F4]The stock option was granted on August 14, 1998 and became exercisable in equal 25% increments on each of the 1st, 2nd, 3rd and 4th anniversaries of the date of grant.
[F5]The stock option was granted on February 15, 2000 and becomes exercisable in equal 25% increments on each of the 1st, 2nd, 3rd and 4th anniversaries of the date of grant.

Documents

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