-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WIirjgIaIsACgOG+s5AeM4HpeS4u1kvCyqFo3zqFIQHxc0EcT5V1EXhubjy6GKZO bOQnOEEY4k151zfk+5Rniw== 0000899140-02-000141.txt : 20020414 0000899140-02-000141.hdr.sgml : 20020414 ACCESSION NUMBER: 0000899140-02-000141 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MURSTEIN ANDREW CENTRAL INDEX KEY: 0001033265 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O MEDALLION FUNDING CORP STREET 2: 205 EAST 42ND STREET, SUITE 2020 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126823300 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MEDALLION FINANCIAL CORP CENTRAL INDEX KEY: 0001000209 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 043291176 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48473 FILM NUMBER: 02545083 BUSINESS ADDRESS: STREET 1: 437 MADISON AVE 38 TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123282153 MAIL ADDRESS: STREET 1: 437 MADISON AVENUE STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 mu998743b.txt AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under The Securities Exchange Act Of 1934 Amendment No. 1 MEDALLION FINANCIAL CORP. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 Par Value - ------------------------------------------------------------------------------- (Title of Class of Securities) 583928 10 6 - ------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - ------------------------------------------------------------------------------- (Date of Event which Required Filing of the 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) SCHEDULE 13G/A - ----------------------- CUSIP NO. 583928 10 6 - ----------------------- - ---------- -------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Andrew M. Murstein - ---------- -------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ---------- -------------------------------------------------------------------- 3. SEC USE ONLY - ---------- -------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - --------------------------- ----- --------------------------------------------- 5. SOLE VOTING POWER 1,320,000(1) (including 65,000 shares which may be acquired upon the exercise of stock purchase options) ----- --------------------------------------------- NUMBER OF 6. SHARED VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH ----- --------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH 1,320,000(1) (including 65,000 shares which may be acquired upon the exercise of stock purchase options) ----- --------------------------------------------- 8. SHARED DISPOSITIVE POWER -0- - ---------- -------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,320,000(1) (including 65,000 shares which may be acquired upon the exercise of stock purchase options) - ---------- -------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ---------- -------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.21% (based upon number of shares outstanding as reported in the Company's 10-Q, filed for the quarterly period ended September 30, 2001) - ---------- -------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - ---------- -------------------------------------------------------------------- - --------------------------- 1 1,250,000 shares are held in the Andrew Murstein Family Trust. 2 SCHEDULE 13G/A - ----------------------- CUSIP NO. 583928 10 6 - ----------------------- ITEM 1(A). NAME OF ISSUER: - --------- -------------- Medallion Financial Corp. ITEM 1(B). ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES: - --------- ---------------------------------------------- 437 Madison Avenue, 38th Floor New York, NY 10022 ITEM 2(A). NAME OF PERSON FILING: - --------- --------------------- Andrew M. Murstein ITEM 2(B). ADDRESS OF PRINCIPAL OFFICES OR, IF NONE, RESIDENCE: - --------- --------------------------------------------------- Medallion Financial Corp. 437 Madison Avenue, 38th Floor New York, NY 10022 ITEM 2(C). CITIZENSHIP: - --------- ----------- United States of America ITEM 2(D). TITLE OF CLASS OF SECURITIES: - --------- ---------------------------- Common Stock, $.01 par value ITEM 2(E). CUSIP NUMBER: - --------- ------------ 583928 10 6 ITEM 3. IF THE STATEMENT IS BEING FILED PURSUANT TO RULE 13D-1(B), OR - ------ ------------------------------------------------------------- 13D-2(B), CHECK WHETHER THE FILING PERSON IS A: ---------------------------------------------- Not applicable (a) [ ] Broker or dealer registered under Section 15 of the Act, (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (d) [ ] Investment Company registered under Section 8 of the Investment Company Act, (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, 3 SCHEDULE 13G/A - ----------------------- CUSIP NO. 583928 10 6 - ----------------------- (f) [_] Employee Benefit Plan, Pension Fund which is subject to the Provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d-1(b)(1)(ii)(F), (g) [_] Parent Holding Company, in accordance with Rule 13d-1(b)(ii) (G); see Item 7, (h) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). ITEM 4. OWNERSHIP: - ------ --------- (a) Amount beneficially owned: 1,320,000 shares(2) (including 65,000 shares which may be acquired upon the exercise of stock purchase options) (b) Percent of class: 7.21% (based upon number of shares outstanding as reported in the Company's 10-Q, filed for the quarterly period ended September 30, 2001) (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 1,320,000 shares(2) (including 65,000 shares which may be acquired upon the exercise of stock purchase options) (ii) Shared power to vote or direct the vote: -0- (iii) Sole power to dispose or to direct the disposition of: 1,320,000 shares(2) (including 65,000 shares which may be acquired upon the exercise of stock purchase options) (iv) Shared power to dispose or to direct the disposition of: -0- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: - ------ -------------------------------------------- Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF - ------ --------------------------------------------- OF ANOTHER PERSON: ----------------- Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE - ------ ---------------------------------------------------------------------- SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: -------------------------------------------------------- Not applicable. - ------------------------ (2) See footnote (1), above. 4 SCHEDULE 13G/A - ----------------------- CUSIP NO. 583928 10 6 - ----------------------- ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: - ------ --------------------------------------------------------- Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: - ------ ------------------------------ Not applicable. ITEM 10. CERTIFICATION. - ------- ------------- By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and are not held in connection with or as a participant in any transaction having that purpose or effect. 5 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. Dated: February 14, 2002 /s/ Andrew M. Murstein ---------------------------------- Name: Andrew M. Murstein Title: President and Director Individually and as Trustee under the Andrew Murstein Family Trust -----END PRIVACY-ENHANCED MESSAGE-----