UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 5
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
( ) Check box if no longer subject to Section 16.
Form 4 or Form 5 obligations may continue. See Instructions 1(b).
( ) Form 3 Holdings Reported
( ) Form 4 Transactions Reported
1. Name and Address of Reporting Person
Marks Joel E.
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(Last) (First) (Middle)
980 North Federal Highway, Suite 320
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(Street)
Boca Raton Florida 33432
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(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
JWGenesis Financial Corp. (JWG)
3. IRS or Social Security Number of Reporting Person (Voluntary)
4. Statement for Month/Year
1998
5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
(X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other
(specify below)
Vice Chairman, Chief Operating Officer and Secretary
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7. Individual or Joint/Group Reporting (Check Applicable Line)
(X) Form filed by One Reporting Person
( ) Form filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1. Title of Security |2. |3. |4.Securities Acquired (A) |5. Amount of |6.Dir |7.Nature of Indirect |
|Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership |
|Date |Code| | Beneficially |(D)or | |
| | | | A/| | Owned at End of |Indir | |
| | | Amount | D | Price | Issuer's Fiscal |ect(I): |
Year | | |
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<S> <C> <C> <C> <C> <C> <C> <C> <C> |
Common Stock <F1> 06/12/98 A,5 102,994 A -- 370,677 0 -- |
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|
<FN> |
<F1> Shares will vest in 25% increments on 1/15/02, 1/15/03, 1/15/04, |
and 1/15/05. |
</FN> |
|
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TABLE II--Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g. puts, calls, warrants, options, convertible securities)
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1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11.
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Title and Ownership
Number of Date Exer- Amount of Form of
Derivative cisable and Underlying Number of Deriv-
Securities Expiration Securities Price Derivative ative
Conver- Trans- Acquired (A) Date (Month/ (Instr. 3 of Securities Security:
sion or Trans- action or Disposed Day/Year) and 4) Deriv- Benefi- Direct
Exercise action Code of (D) -------------- -------------- ative cially (D) or Nature of
Title of Price of Date (Instr. (Instr. 3, Date Amount Secur- Owned at Indirect Indirect
Derivative Deriv- (Month/ 8) 4 and 5) Exer- Expir- or Num- ity End of (I) Beneficial
Security ative Day/ -------- ---------- cis- ation ber of (Instr. Year (Instr. Ownership
(Instr. 3) Security Year) (A) (D) able Date Title Shares 5) (Instr. 4) 4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Explanation of Responses:
SIGNATURE OF REPORTING PERSON
/s/ Joel E. Marks 7/21/99
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Joel E. Marks
Signature of Reporting Person Date
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