-----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, FE1fgr2Bm8ttjIIgR45gmSDlr3BG0feMaKjMXgtsx+eDV5LGgmKfJOsc9LqqFIEt F+IWibdtc+hbEq70nESo2A== 0000950123-96-004925.txt : 19960910 0000950123-96-004925.hdr.sgml : 19960910 ACCESSION NUMBER: 0000950123-96-004925 CONFORMED SUBMISSION TYPE: S-8 PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19960909 EFFECTIVENESS DATE: 19960928 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: WAVE SYSTEMS CORP CENTRAL INDEX KEY: 0000919013 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 133477246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-8 SEC ACT: 1933 Act SEC FILE NUMBER: 333-11611 FILM NUMBER: 96627471 BUSINESS ADDRESS: STREET 1: 540 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127553282 S-8 1 FORM S-8 / 1994 STOCK OPTION PLAN 1 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 9, 1996 REGISTRATION NO. 333- ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------- FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ---------- WAVE SYSTEMS CORP. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 13-34772426 (STATE OR OTHER JURISDICTION (I.R.S. EMPLOYER IDENTIFICATION NO.) OF INCORPORATION OR ORGANIZATION) 540 MADISON AVENUE 10022 NEW YORK, NEW YORK (ZIP CODE) (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) ---------- WAVE SYSTEMS CORP. 1994 STOCK OPTION PLAN (FULL TITLE OF THE PLAN) JAMES S. HATCH WAVE SYSTEMS CORP. 540 MADISON AVENUE NEW YORK, NEW YORK 10022 (NAME AND ADDRESS OF AGENT FOR SERVICE) TELEPHONE NUMBER, INCLUDING AREA CODE, OF AGENT FOR SERVICE: (212) 755-3282 ---------- CALCULATION OF REGISTRATION FEE
==================================================================================================================================== Proposed Proposed Maximum Maximum Title of Securities to be Amount to be Offering Price Aggregate Amount of Registered Registered Per Share(1) Offering Price(1) Registration Fee - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, $.01 par 1,000,000 Shares $1.76 $1,760,000 $606.90 value............................. ====================================================================================================================================
(1) Estimated solely for the purpose of computing the registration fee, based on the average of the high and low prices for the Class A Common Stock as reported on the Nasdaq National Market System on September 3, 1996. ================================================================================ 2 INCORPORATED BY REFERENCE This Registration Statement on Form S-8 relates to the registration of additional shares reserved for issuance under the registrant's 1994 Stock Option Plan. Pursuant to General Instruction E. of Form S-8, the contents of the Registration Statement on Form S-8 (Registration No. 33-97612) filed with the Securities and Exchange Commission and effective on October 2, 1995 are hereby incorporated by reference herein. -2- 3 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 5th day of September, 1996. WAVE SYSTEMS CORP. By:/s/ Peter J. Sprague -------------------------------- Name: Peter J. Sprague Title: Chairman, Chief Executive Officer and Principal Financial Officer Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated:
SIGNATURE TITLE DATE --------- ----- ---- /s/ Peter J. Sprague Chairman, Chief Executive Officer September 5, 1996 - ---------------------------------------- and Principal Financial Officer Peter J. Sprague /s/ David Kopans Controller September 5, 1996 - ---------------------------------------- David Kopans /s/ John E. Bagalay, Jr. Director September 5, 1996 - ---------------------------------------- John E. Bagalay, Jr. Director September , 1996 - ---------------------------------------- -- Philippe Bertin /s/ George Gilder Director September 5, 1996 - ---------------------------------------- George Gilder /s/ John E. McConnaughy, Jr. Director September 5, 1996 - ---------------------------------------- John E. McConnaughy, Jr. /s/ Gene W. Ray Director September 5, 1996 - ---------------------------------------- Gene W. Ray
-3- 4 INDEX TO EXHIBITS
EXHIBIT NUMBER DESCRIPTION OF DOCUMENT - ------ ----------------------- 5 Opinion of Curtis, Mallet-Prevost, Colt & Mosle 23.1 Consent of KPMG Peat Marwick LLP 23.2 Consent of Curtis, Mallet-Prevost, Colt & Mosle (included in Exhibit 5)
-4- EX-5 2 OPINION OF CURTIS, MALLET-PREVOST, COLT & MOSLE 1 CURTIS, MALLET-PREVOST, COLT & MOSLE EXHIBIT 5 September 9, 1996 Wave Systems Corp. 540 Madison Avenue New York, NY 10022 Ladies and Gentlemen: We have acted as special counsel for Wave Systems Corp., a Delaware corporation (the "Company"), with respect to the proposed registration and sale by the Company of an additional 1,000,000 shares of Class A Common Stock issuable upon the exercise of options granted or to be granted under the Company's 1994 Stock Option Plan (the "Plan"), covered by a Registration Statement on Form S-8 (the "Registration Statement") filed with the Securities and Exchange Commission under the Securities Act of 1933, as amended. In connection herewith, we have examined the Restated Certificate of Incorporation and the Restated Bylaws of the Company, the Registration Statement and all exhibits thereto, and such other documents as we have considered necessary. Based upon such examination, it is our opinion that the shares of Class A Common Stock proposed to be sold by the Company, when sold pursuant to the Plan and resolutions of the Board of Directors of the Company (and the Compensation Committee thereof) authorizing the same, will be legally issued, fully paid and nonassessable. In rendering this opinion, we have assumed that the exercise price of options will be not less than the par value of the shares subject thereto. 2 Wave Systems Corp. Page 2 September 9, 1996 We hereby consent to the use of this opinion as an exhibit to the Registration Statement. We are giving this opinion to the Company, and no person other than the Company may rely upon it. Very truly yours, /s/ Curtis, Mallet-Prevost, Colt & Mosle ---------------------------------------- Curtis, Mallet-Prevost, Colt & Mosle EX-23.1 3 CONSENT OF KPMG PEAT MARWICK LLP 1 Exhibit 23.1 Independent Auditors' Consent The Board of Directors Wave Systems Corp.: We consent to the use of our report incorporated herein by reference. KPMG Peat Marwick LLP New York, New York September 6,1996 -----END PRIVACY-ENHANCED MESSAGE-----