-----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, OnBmWVK673rIuUlzMnNidwGbLbLEBtwjcBEszKG+uG9Fmm8pjlGMQGXm34UBKIDK FXHDVk+OW6AndgEFv2hBGw== 0000913760-00-000006.txt : 20000202 0000913760-00-000006.hdr.sgml : 20000202 ACCESSION NUMBER: 0000913760-00-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991130 FILED AS OF DATE: 20000110 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-23554 FILM NUMBER: 504452 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 BUSINESS PHONE: 4076291400 MAIL ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 COMPANY DATA: COMPANY CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] DIRECTOR IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 BUSINESS PHONE: 4076291400 MAIL ADDRESS: STREET 1: 250 PARK AVENUE SOUTH STREET 2: SUITE 200 CITY: WINTER PARK STATE: FL ZIP: 32789 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person MICELI JEROME F. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 250 PARK AVENUE SOUTH/ SUITE 200 - -------------------------------------------------------------------------------- (Street) WINTER PARK FL 32789 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol INTERNATIONAL ASSETS HOLDING CORPORATION -- IAAC ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year NOVEMBER, 1999 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) [X ] Form filed by One Reporting Person [ ] Form filed by More Than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS HOLDING CORPORATION JEROME F. MICELI ROSALIE A. MICELI REV INTER VIVOS COMMON 12/07/99 S 2,000 D 7.75 59,571 I TRUST - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/08/99 S 8,000 D 7.50 51,571 I REV INTER VIVOS TRUST - ---------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/09/99 X 15,400 A 2.066 48,400 D - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS 12/14/99 J* 15,400 D 0.0 33,000 D HOLDING CORPORATION COMMON - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS 12/14/99 J* 15,400 A 0.0 66,971 I JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON REV INTER VIVOS TRUST - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/14/99 S 3,000 D 6.75 63,971 I REV INTER VIVOS TRUST - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/29/99 S 1,000 D 7.00 32,000 D - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/29/99 S 1,500 D 7.375 30,500 D - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS 12/29/99 S 500 D 7.50 30,000 D HOLDING CORPORATION COMMON - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS 12/29/00 X 4,000 A 4.215 34,000 D HOLDING CORPORATION COMMON - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/29/99 J* 4,000 D 0.0 30,000 D - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALI A . MICELI COMMON 12/29/99 J* 4,000 A 0.0 67,971 I REV INTER VIVOS TRUST - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS 12/29/99 S 4,000 D 7.50 63,971 I JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON REV INTER VIVOS TRUST - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS 12/30/99 X 4,000 A 4.215 34,000 D HOLDING CORPORATION COMMON - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/30/99 J* 4,000 D 0.0 30,000 D - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/30/99 J* 4,000 A 0.0 67,971 I REV INTER VIVOS TRUST - ----------------------------------------------------------------------------------------------------------------------------------- INTRNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/30/99 S 3,500 D 7.00 64,471 I REV INTER VIVOS TRUST - ----------------------------------------------------------------------------------------------------------------------------------- INTERNTIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/30/99 S 500 D 7.0625 63,971 I REV INTER VIVOS TRUST - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/31/99 X 36,000 A 4.215 66,000 D - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/31/99 J* 36,000 D 0.0 30,000 D - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/31/99 J* 36,000 A 0.0 99,971 I REV INTER VIVOS TRUST - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS JEROME F. MICELI HOLDING CORPORATION ROSALIE A. MICELI COMMON 12/31/99 S 4,000 D 7.25 95,971 I REV INTER VIVOS TRUST - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/31/99 S 400 D 7.25 29,600 D - ----------------------------------------------------------------------------------------------------------------------------------- INTERNATIONAL ASSETS HOLDING CORPORATION COMMON 12/31/99 S 2,600 D 7.4375 27,000 D ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION 2.066 12/09/99 X 15,400 12/28/96 02/10/00 COMMON 15,400 2.066 0 D - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION 4.215 12/29/99 X 4,000 01/23/95 02/10/00 COMMON 4,000 4.215 40,000 D - ----------------------------------------------------------------------------------------------------------------------------------- STOCK OPTION 4.215 12/30/99 X 4,000 01/23/95 02/10/00 COMMON 4,000 4.215 36,000 D - ----------------------------------------------------------------------------------------------------------------------------------- STOCK OPTION 4.215 12/31/99 X 36,000 01/23/95 02/10/00 COMMON 36,000 4.215 0 D - ------------------------------------------------------------------------------------------------------------------------------------ ===================================================================================================================================
Explanation of Responses: *TRANSFERRED EXERCISED OPTIONS FROM SINGLE NAME TO TRUST ACCOUNT. /S/ JEROME F. MICELI 01/07/00 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. -----END PRIVACY-ENHANCED MESSAGE-----