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| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL |
---------- Washington, D.C. 20549 | |
|-----------------------------|
[ ] Check this box if | |
no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number |
to Section 16. Filed pursuant to Section 16(a) of the Securities Exchange Act of |Expires: |
Form 4 or Form 5 1934, Section 17(a) of the Public Utility Holding Company Act of |Estimated average burden |
obligations may 1935 or Section 30(f) of the Investment Company Act of 1940 |hours per response |
continue. -----------------------------
See instruction 1(b)
(Print or Type Responses)
<S> <C> <C>
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| |
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting
| | Person(s) to Issuer
Kaufman Matthew | THCG, Inc. (Nasdaq: THCG) | (Check all applicable)
----------------------------------------------|--------------------------|-------------------|
(Last) (First) (Middle) | | |
| 3. IRS or Social Se- |4. Statement for | X Director 10% Owner
| curity Number of | | -- --
12 East 49th Street, Suite 3200 | Reporting Person | Month/Year | __ Officer __ Other
----------------------------------------------| (Voluntary) | | (give title (specify
(Street) | | | below) below
| | 10/00 |
| |----------------------------------------------------------
| |5. If Amendment, |7. Individual or Joint/Group Filing
| | Date of Original| (Check Applicable Line)
New York NY 10017 | | (Month/Year) | X Form filed by One Reporting Person
| | | __ Form filed by More than One
| | | Reporting Person
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(City) (State) (Zip) | Table I -- Non-Derivative Securities, Acquired, Disposed of, or Beneficially Owned
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1. Title of Security |2. Trans- |3.Trans- | 4. Securities Acquired (A) |5. Amount of |6. Owner- | 7. Nature of
(Instr. 3) | action | action | or Disposed of (D) | Securities | ship | Indirect
| Date | Code | | Beneficially | Form: | Bene-
| | | | Owned at | Direct | ficial
| (Month/| | | End of Month | (D) or (I) | Ownership
| Day/ | (Instr. 8)| (Instr. 3, 4 and 5) | | |
| Year) |------|-----|------------------|-----|-------| | |
| | | | |(A)or| | | |
| | Code | V | Amount |(D) |Price | (Instr. 3 and 4)| (Instr. 4) | (Instr. 4)
-------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
| | | | | | | | |
No securities owned | | | | | | | | |
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-------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
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Table I - Continued
FORM 4 (Continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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1.Title of |2.(Conver-|3.Trans-|4.Trans-|5.Number of |6.Date Exer- |7.Title and |8.Price |9.Number |10.Owner-|11.Nature
Derivative| sion or | action| action| Derivative | cisable | Amount of | of | of deriv-| ship |of
Security | Exercise| Date | Code | Securities | and | Underlying | Deri- | ative | Form of |Indirect
(Instr. 3)| Price of| |(Instr. | Acquired | Expiration | Securities | vative| Securi- | Deriva- |Benefi-
| Deriv- | | 8) | (A) or Dis- | Date | (Instrs. 3 | Secu- | ties | tive |cial
| ative | | | posed of (D) | (Month/Day/ | and 4) | rity | Benefi- | Secu- |Owner-
| Security| (Month/| | | Year) | | (Instr.| cially | rity: |ship
| | Day/ | |(Instrs. 3,4, | | | 5) | Owned | Direct |(Instr.4
| | Year) | | and 5) | | | | at End | (D) or |
| | | | |--------------|------------------| | of Month | indirect|
| | | | |Date |Expira-| | Amount | | (Instr. 4| (I) |
| | | | |Exer- |tion | Title | or | | |(Instr.4)|
|----------|--------|----|---|--------|-------|cisa- |Date | | Number | | | |
| | | | | | |ble | | | of | | | |
| | | | | | | | | | Shares | | | |
| | |Code| V | (A) | (D) | | | | | | | |
------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
| $7.00/ | | | | | | | |Common | | | | |
Stock Option| share | (1) |A(1)| | 8,625 | | (2) | (3) |Stock, | 8,625 | (1) | 8,625 | (D) |
| | | | | | | | |par | | | | |
| | | | | | | | |value | | | | |
| | | | | | | | |$.01 per| | | | |
| | | | | | | | |share | | | | |
------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
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------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
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Explanation of Responses:
(1) These securities were issued to Matthew Kaufman in his capacity as director of THCG, Inc. pursuant to the THCG, Inc. Stock
Option Agreement dated as of September 6, 2000.
(2) These securities may be exercised at any time after May 15, 2000 (the "Grant Date") and prior to the tenth anniversary
of the Grant Date.
(3) The expiration date is the tenth anniversary of the Grant Date.
** Intentional misstatements or omissions of facts constitute /s/ Matthew Kaufman 11/8/00
Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------- -----------
Matthew Kaufman Date
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