-----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, Nio0G/fhG7EXZffzJ62zt4OTvo3OIIoxl7nCN9hpu18cWeGr24vHWtuWxSoAnQE+ 7s+2wi+KtanZlZF80pb06w== 0000910680-00-000337.txt : 20000517 0000910680-00-000337.hdr.sgml : 20000517 ACCESSION NUMBER: 0000910680-00-000337 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20000516 ITEM INFORMATION: ITEM INFORMATION: FILED AS OF DATE: 20000516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMARTSERV ONLINE INC CENTRAL INDEX KEY: 0001005698 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 133750708 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: SEC FILE NUMBER: 000-28008 FILM NUMBER: 637057 BUSINESS ADDRESS: STREET 1: METRO CENTER STREET 2: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033535950 MAIL ADDRESS: STREET 1: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 8-K 1 FORM 8-K FOR SMARTSERVE ONLINE, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -------------- FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2000 SMARTSERV ONLINE, INC. ---------------------- (Exact Name of Registrant as Specified in Charter) Delaware -------- (State of Incorporation) 0-28008 13-3750708 ------- ---------- (Commission File No.) (IRS Employer Identification No.) One Station Place, Stamford, Connecticut 06902 -------------------------------------------------------------- (Address of Principal Executive Offices) (Zip Code) 203-353-5950 ------------ (Registrant's telephone number, including area code) Not Applicable -------------- (Former Name or Former Address, if Changed Since Last Report) Item 5. Other Events - ------- ------------ On May 15, 2000, the Company completed a $17,500,000 equity financing to three (3) investors. A copy of the press release is attached to this Form 8-K as Exhibit 99.1. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits. - ------- ------------------------------------------------------------------- (a) Financial statements of business acquired: Not applicable. (b) Pro forma financial information: Not applicable. (c) Exhibits: 99.1: SmartServ Online, Inc. Press Release dated May 16, 2000. SIGNATURES ---------- Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. SMARTSERV ONLINE, INC. Dated: May 16, 2000 By: /s/ Sebastian E. Cassetta -------------------------------- Sebastian E. Cassetta Chief Executive Officer -2- EXHIBIT INDEX ------------- Exhibit Number Description - ------ ----------- 99.1 SmartServ Online, Inc. Press Release dated May 16, 2000. EX-99.1 2 PRESS RELEASE DATED MAY 16, 2000 Exhibit 99.1 ------------ For Immediate Release Contact: Geltzer & Company, Inc. - --------------------- Harry Schmitz Roger Greene 212-575-1976 212-245-2145 fax hschmitz@geltzerpr.com rgreene@geltzerpr.com SMARTSERV ONLINE COMPLETES FINANCING CHASE H&Q SERVES AS PLACEMENT AGENT ON INITIAL PRIVATE ROUND OF FINANCING NEW YORK, NY (MAY 16, 2000) - SmartServ Online (OTC BB: SSOL), a leading Web and wireless application services provider, today announced the completion of a $17.5 million equity financing through Chase H&Q. The investors in this initial round are TecCapital, Ltd., Conseco Capital Management and The Abernathy Group. "We are extremely pleased to announce the completion of this private round," said Sam Cassetta, Chairman and Chief Executive Officer of SmartServ. "This financing will help to maintain our forward momentum as a leading global provider of Web and wireless transaction services. In addition to their financial investment, these investors will act as true strategic partners and bring to SmartServ significant international exposure toward creating new and exciting business opportunities." -more- ABOUT SMARTSERV ONLINE SmartServ Online is a leading application services provider offering complete systems to extend financial and e-commerce businesses to the Web and wireless marketplace. The world class "SmartServ" platform today offers a secure, scalable and reliable environment for application hosting and industrial-strength transaction order routing services. All applications developed and hosted by SmartServ Online are accessible from a vast array of Web and wireless interactive appliances, including desktop PCs, Internet-ready wireless handsets, Palm and Windows CE devices. SmartServ's Alliance Program members consist of leading technology, consulting and content provider companies. SmartServ is an established member of the WAP Forum and aims to remain at the forefront of new mobile technologies such as Bluetooth and Epoc. Visit the Company's Web site at www.smartserv.com for more information. # # # SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS This news release may contain forward-looking statements that involve risks and uncertainties. Forward-looking statements in this document and those made from time-to-time by the Company are made under the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements concerning future plans or results are necessarily only estimates and actual results could differ materially from expectations. Certain factors that could cause or contribute to such differences include, and are not limited to, potential fluctuations in quarterly results, the size and timing of awards and performances on contracts, dependence on large contracts and a limited number of customers, dependence on wireless and/or internet networks of third-parties for certain products and services, lengthy sales and implementation cycles, changes in management estimates incident to accounting for contracts, availability and cost of key components, market acceptance of new or enhanced products and services, proprietary technology and changing technology, competitive conditions, system performance, management of growth, the risk that the Company's current and future products and services may contain errors or be affected by technical problems that would be difficult and costly to detect and correct, dependence on key personnel and general economic and political conditions and other factors affecting spending by customers, and other risks described in the Company's filings with the Securities and Exchange Commission. 051500 -----END PRIVACY-ENHANCED MESSAGE-----