-----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, PqOW/Ckd4ef4SpNoGOXNOVDWWCbvshQMLDraJZGDfl+qQiRN+nUEQHIIuPA3hZ/G wAIIzsc2mGmidQy+cYm+fQ== 0000927016-97-000417.txt : 19970222 0000927016-97-000417.hdr.sgml : 19970222 ACCESSION NUMBER: 0000927016-97-000417 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MEDALLION FINANCIAL CORP CENTRAL INDEX KEY: 0001000209 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 041414660 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48473 FILM NUMBER: 97532894 BUSINESS ADDRESS: STREET 1: 205 E 42ND ST STREET 2: STE 2000 CITY: NEW YORK STATE: NY ZIP: 10017 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MURSTEIN ANDREW CENTRAL INDEX KEY: 0001033265 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G 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 SC 13G 1 SCHEDULE 13-G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D-102) INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )/*/ MEDALLION FINANCIAL CORP. (Name of Issuer) COMMON STOCK, $.01 PAR VALUE (Title of Class of Securities) 583928 10 6 (CUSIP Number) ____________________ * 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 disclosures provided in a prior cover page. The information required on 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 ("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). SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 583928 10 6 PAGE 2 OF 6 PAGES - --------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Andrew 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 - -------------------------------------------------------------------------------- NUMBER OF SOLE VOTING POWER 5 SHARES 1,250,000 ------------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER 6 OWNED BY 0 ------------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,250,000/1/ ------------------------------------------------------------------- PERSON SHARED DISPOSITIVE POWER 8 WITH 0 ------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,250,000/1/ - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 15.2% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------- /1/All of these shares are held in the Andrew Murstein Family Trust. SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 583928 10 6 PAGE 3 OF 6 PAGES - --------------------- --------------------- ITEM 1(A). NAME OF ISSUER: Medallion Financial Corp. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 205 East 42nd Street, Suite 2020, New York, NY 10017 ITEM 2(A). NAME OF PERSON FILING: Andrew Murstein ITEM 2(B). ADDRESS OF PRINCIPAL OFFICES OR, IF NONE, RESIDENCE: Medallion Financial Corp. 205 East 42nd Street, Suite 2020 New York, NY 10017 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, (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). SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 583928 10 6 PAGE 4 OF 6 PAGES - --------------------- --------------------- ITEM 4. OWNERSHIP. (a) Amount beneficially owned: 1,250,000 shares/2/ (b) Percent of class: 15.2% (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 1,250,000/2/ (ii) Shared power to vote or direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,250,000/2/ (iv) Shared power to dispose or to direct the disposition of: 0 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 had ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. 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. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. - --------------------------- /2/ See footnote 1, above SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 583928 10 6 PAGE 5 OF 6 PAGES - --------------------- --------------------- 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 acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 583928 10 6 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. Dated: February 10, 1997 /s/ Andrew Murstein ------------------------------------ Andrew Murstein, individually and as Trustee under the Andrew Murstein Family Trust The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note. Six copies of this statement, including all exhibits, should be filed with the Commission. Attention. Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----