<PAGE>
/------------------------------/
/ OMB APPROVAL /
/------------------------------/
/ OMB Number: 3235-0104 /
/ Expires: September 30, 1998 /
/ Estimated average burden /
/ hours per response...... 0.5 /
/------------------------------/
+--------+
| FORM 3 | U.S. SECURITIES AND EXCHANGE COMMISSION
+--------+ WASHINGTON, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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
(Print or Type Responses)
- --------------------------------------------------------------------------------
1. Name and Address of Reporting Person*
J O Hambro Capital Management Limited
----------------------------------------------------------------------------
(Last) (First) (Middle)
10 Park Place
----------------------------------------------------------------------------
(Street)
London SW1A 1LP England
----------------------------------------------------------------------------
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year) 9/16/99
--------------
3. IRS Identification Number of Reporting Person if an Entity
(Voluntary)
--------------
4. Issuer Name and Ticker or Trading Symbol
Maxicare Health Plans, Inc. ("MAXI")
------------------------------------
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
[ ] Director [ ] Officer [x] 10% Owner [ ] Other
(give title below) (specify below)
----------------------------------------------------------------------------
6. If Amendment, Date of Original (Month/Day/Year)
----------------------------
7. Individual or Joint Group Filing (Check Applicable Line)
____ Form Filed by One Reporting Person
x Form filed by More than One Reporting Person
----
TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------
1. Title 2. Amount of 3. Ownership Form: 4. Nature of
of Securities Bene- Direct (D) or Indirect Bene-
Security ficially Owned Indirect (I) ficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5)
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
- --------------------------------------------------------------------------------
Common Stock, See "Explanation of
$ .01 par value 1,869,500 I Responses."
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
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 Instrution 5(b)
(v)
<PAGE>
FORM 3 (continued)
TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
1. Title of Derivative 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of In-
Security (Instr. 4) cisable and Underlying Derivative Security or Form of direct Bene-
Expiration (Instr. 4) Exercise Derivative ficial
Date Price Security: Ownership
(Month/Day/ of Direct (D) (Instr. 5)
Year) Derivative or In-
---------------------------------------------------- Security direct (I)
Date Expira- Amount or (Instr. 5)
Exer- tion Title Number of
cisable Date Shares
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Explanation of Responses:
The securities listed in the table are owned by North Atlantic Smaller Companies
Investment Trust plc, American Opportunity Trust plc, Oryx International Growth
Fund Limited, and certain private clients of J O Hambro Capital Management
Limited. The inclusion in this report of securities listed in the table shall
not be deemed an admission that the reporting person is for the purpose of
Section 16 of the Securities Exchange Act of 1934, as amended, or for any other
purpose, the beneficial owner of such securities, and such beneficial ownership
is expressly disclaimed.
**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 is insufficient, See Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
/s/ R. Barrett 9/24/99
------------------------------- -----------------
**Signature of Reporting Person Date
<PAGE>
/------------------------------/
/ OMB APPROVAL /
/------------------------------/
/ OMB Number: 3235-0104 /
/ Expires: September 30, 1998 /
/ Estimated average burden /
/ hours per response...... 0.5 /
/------------------------------/
+--------+
| FORM 3 | U.S. SECURITIES AND EXCHANGE COMMISSION
+--------+ WASHINGTON, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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
(Print or Type Responses)
- --------------------------------------------------------------------------------
1. Name and Address of Reporting Person*
J O Hambro Capital Management (Holdings) Limited
----------------------------------------------------------------------------
(Last) (First) (Middle)
c/o J O Hambro Capital Management Limited
10 Park Place
----------------------------------------------------------------------------
(Street)
London SWIA 1LP England
----------------------------------------------------------------------------
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year) 9/16/99
--------------
3. IRS Identification Number of Reporting Person if an Entity
(Voluntary)
--------------
4. Issuer Name and Ticker or Trading Symbol
Maxicare Health Plans, Inc. ("MAXI")
------------------------------------
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
[ ] Director [ ] Officer [x] 10% Owner [ ] Other
(give title below) (specify below)
----------------------------------------------------------------------------
6. If Amendment, Date of Original (Month/Day/Year)
----------------------------
7. Individual or Joint Group Filing (Check Applicable Line)
____ Form Filed by One Reporting Person
x Form filed by More than One Reporting Person
----
TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------
1. Title 2. Amount of 3. Ownership Form: 4. Nature of
of Securities Bene- Direct (D) or Indirect Bene-
Security ficially Owned Indirect (I) ficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5)
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
Common Stock, See "Explanation of
$ .01 par value 1,869,500 I Responses."
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
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 5(b)
(v)
<PAGE>
FORM 3 (continued)
TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
1. Title of Derivative 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of In-
Security (Instr. 4) cisable and Underlying Derivative Security or Form of direct Bene-
Expiration (Instr. 4) Exercise Derivative ficial
Date Price Security: Ownership
(Month/Day/ of Direct (D) (Instr. 5)
Year) Derivative or In-
---------------------------------------------------- Security direct (I)
Date Expira- Amount or (Instr. 5)
Exer- tion Title Number of
cisable Date Shares
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Explanation of Responses:
The securities listed in the table are owned by North Atlantic Smaller Companies
Investment Trust plc, American Opportunity Trust plc, Oryx International Growth
Fund Limited, and certain private clients of J O Hambro Capital Management
Limited. The inclusion in this report of securities listed in the table shall
not be deemed an admission that the reporting person is for the purpose of
Section 16 of the Securities Exchange Act of 1934, as amended, or for any other
purpose, the beneficial owner of such securities, and such beneficial ownership
is expressly disclaimed.
**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 is insufficient, See Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
/s/ Nichola Pease 9/24/99
------------------------------- -----------------
**Signature of Reporting Person Date
<PAGE>
/------------------------------/
/ OMB APPROVAL /
/------------------------------/
/ OMB Number: 3235-0104 /
/ Expires: September 30, 1998 /
/ Estimated average burden /
/ hours per response...... 0.5 /
/------------------------------/
+--------+
| FORM 3 | U.S. SECURITIES AND EXCHANGE COMMISSION
+--------+ WASHINGTON, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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
(Print or Type Responses)
- --------------------------------------------------------------------------------
1. Name and Address of Reporting Person*
Mills Christopher H. B.
----------------------------------------------------------------------------
(Last) (First) (Middle)
c/o J O Hambro Capital Management Limited
10 Park Place
----------------------------------------------------------------------------
(Street)
London SWIA 1LP England
----------------------------------------------------------------------------
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year) 9/16/99
--------------
3. IRS Identification Number of Reporting Person if an Entity
(Voluntary)
--------------
4. Issuer Name and Ticker or Trading Symbol
Maxicare Health PLans, Inc. ("MAXI")
------------------------------------
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
[ ] Director [ ] Officer [x] 10% Owner [ ] Other
(give title below) (specify below)
----------------------------------------------------------------------------
6. If Amendment, Date of Original (Month/Day/Year)
----------------------------
7. Individual or Joint Group Filing (Check Applicable Line)
____ Form Filed by One Reporting Person
x
____ Form filed by More than One Reporting Person
TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------
1. Title 2. Amount of 3. Ownership Form: 4. Nature of
of Securities Bene- Direct (D) or Indirect Bene-
Security ficially Owned Indirect (I) ficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5)
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
Common Stock, See "Explanation of
$ .01 par value 1,869,500 I Responses."
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
FORM 3 (continued)
TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
1. Title of Derivative 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of In-
Security (Instr. 4) cisable and Underlying Derivative Security or Form of direct Bene-
Expiration (Instr. 4) Exercise Derivative ficial
Date Price Security: Ownership
(Month/Day/ of Direct (D) (Instr. 5)
Year) Derivative or In-
---------------------------------------------------- Security direct (I)
Date Expira- Amount or (Instr. 5)
Exer- tion Title Number of
cisable Date Shares
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Explanation of Responses:
The securities listed in the table are owned by North Atlantic Smaller Companies
Investment Trust plc, American Opportunity Trust plc, Oryx International Growth
Fund Limited, and certain private clients of J O Hambro Capital Management
Limited. The inclusion in this report of securities listed in the table shall
not be deemed an admission that the reporting person is for the purpose of
Section 16 of the Securities Exchange Act of 1934, as amended, or for any other
purpose, the beneficial owner of such securities, and such beneficial ownership
is expressly disclaimed.
**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 is insufficient, See Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
/s/ Christopher H. B. Mills 9/24/24
------------------------------- -----------------
**Signature of Reporting Person Date
