UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. ___)*
HOENIG GROUP INC.
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(Name of Issuer)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
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(Title of Class of Securities)
434396107
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(CUSIP Number)
DECEMBER 31, 1998**
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(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 (the "Act") or otherwise subject to the liabilities of that section of the
Act but shall be subject to all other provisions of the Act (however, see the
Notes).
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** See explanatory note.
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SCHEDULE 13G
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CUSIP NO. 434396107 PAGE 2 OF 6 PAGES
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
ALAN B. HERZOG
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ] (b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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5 SOLE VOTING POWER
945,682
NUMBER OF --------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 12,600
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 945,682
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8 SHARED DISPOSITIVE POWER
12,600
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
958,282
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10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [X]
80,000 shares owned by spouse (See Item 6)
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.2%
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12 TYPE OF REPORTING PERSON (See Instructions)
IN
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PAGE 3 OF 6 PAGES
Explanatory Note
Alan B. Herzog (the "Reporting Person") acquired beneficial
ownership of the Common Stock, par value $0.01 per share (the "Common Stock"),
of Hoenig Group Inc. (the "Company") prior to the Company's registration of the
Common Stock pursuant to Section 12(g) of the Securities Exchange Act of 1934,
as amended, and never acquired beneficial ownership of more than 2% of the
Common Stock in any twelve-month period. The Reporting Person has been
voluntarily reporting his beneficial ownership on a Schedule 13D and amendments
thereto.
ITEM 1(a). NAME OF ISSUER.
Hoenig Group Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES.
4 International Drive
Rye Brook, NY 10573
ITEM 2(a). NAME OF PERSON FILING.
Alan B. Herzog
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE.
4 International Drive
Rye Brook, NY 10573
ITEM 2(c). CITIZENSHIP.
U.S.A.
ITEM 2(d). TITLE OF CLASS OF SECURITIES.
Common Stock, par value $0.01 per share.
ITEM 2(e). CUSIP NUMBER.
434396107
ITEM 3.
If this statement is filed pursuant to ss.ss.240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
Inapplicable.
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PAGE 4 OF 6 PAGES
(a) [ ] Broker or dealer registered under Section 15 of the
Act (15 U.S.C. 78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act (15
U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of
the Act (15 U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with
ss.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in
accordance with ss.240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in
accordance with ss.240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of
an investment company under Section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
If this statement is filed pursuant to ss.240.13d-1(c), check
this box [ ].
ITEM 4. OWNERSHIP.
(a) Amount beneficially owned: 958,282 shares
(b) Percent of class: 11.2 %
(c) Number of shares as to which the
Reporting Person has:
(i) Sole power to vote or to direct
the vote: 945,682
(ii) Shared power to vote or to direct
the vote: 12,600
(iii) Sole power to dispose or to direct
the disposition of: 945,682
(iv) Shared power to dispose or to direct
the disposition of: 12,600
(Does not include 80,000 shares held by spouse. See Item 6.)
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class of
securities, check the following [ ].
Inapplicable.
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PAGE 5 OF 6 PAGES
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON.
The Reporting Person shares power to vote, or to direct the
vote, and power to dispose of, or to direct the deposition of,
12,600 shares of Common Stock owned by the Alan B. & Frances
G. Herzog Charitable Foundation, Inc. with Frances G. Herzog,
the Reporting Person's spouse, and Martha Yohe, the Reporting
Person's mother-in-law. Frances G. Herzog, the Reporting
Person's spouse, has sole power to vote, or to direct the
vote, and sole power to dispose of, or to direct the
deposition of, 80,000 shares owned by Frances G. Herzog.
The Reporting Person disclaims any beneficial ownership of the
shares owned by Frances G. Herzog and such shares are not
included in this Schedule 13G.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY.
Inapplicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Inapplicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Inapplicable.
ITEM 10. CERTIFICATION.
Inapplicable.
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PAGE 6 OF 6 PAGES
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: July 15, 1999
/s/ Alan B. Herzog
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ALAN B. HERZOG
