S-3/A 1 a2051795zs-3a.txt S-3/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JUNE 27, 2001 REGISTRATION NO. 333-62272 -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------------ AMENDMENT NO. 3 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ------------------------------ BIOSPHERE MEDICAL, INC. (Exact name of registrant as specified in its charter) DELAWARE 2834 04-3216867 (State or other jurisdiction of (Primary Standard Industrial (I.R.S. Employer incorporation or organization) Classification Code Number) Identification Number)
1050 HINGHAM STREET ROCKLAND, MASSACHUSETTS 02370 (781) 681-7900 (Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant's Principal Executive Offices) ------------------------------ JOHN M. CARNUCCIO PRESIDENT AND CHIEF EXECUTIVE OFFICER BIOSPHERE MEDICAL, INC. 1050 HINGHAM STREET ROCKLAND, MASSACHUSETTS 02370 (781) 681-7900 (Name, Address, Including Zip Code, and Telephone Number, Including Area Code, of Agent for Service) ------------------------------ COPIES TO: SUSAN W. MURLEY, ESQ. DONALD J. MURRAY, ESQ. JOHN H. CHORY, ESQ. DEWEY BALLANTINE LLP HALE AND DORR LLP 1301 AVENUE OF THE AMERICAS 60 STATE STREET NEW YORK, NY 10019 BOSTON, MASSACHUSETTS 02109 TELEPHONE: (212) 259-8000 TELEPHONE: (617) 526-6000 FACSIMILE: (212) 259-6333 FACSIMILE: (617) 526-5000
------------------------------ APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: AS SOON AS PRACTICABLE AFTER THE EFFECTIVE DATE HEREOF. ------------------------------ If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box. / / If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box. / / If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. / / If delivery of the Prospectus is expected to be made pursuant to Rule 434, please check the following box. / / ------------------------------ THE REGISTRANT HEREBY AMENDS THIS REGISTRATION STATEMENT ON SUCH DATE OR DATES AS MAY BE NECESSARY TO DELAY ITS EFFECTIVE DATE UNTIL THE REGISTRANT SHALL FILE A FURTHER AMENDMENT WHICH SPECIFICALLY STATES THAT THIS REGISTRATION STATEMENT SHALL THEREAFTER BECOME EFFECTIVE IN ACCORDANCE WITH SECTION 8(A) OF THE SECURITIES ACT OF 1933 OR UNTIL THE REGISTRATION STATEMENT SHALL BECOME EFFECTIVE ON SUCH DATE AS THE COMMISSION, ACTING PURSUANT TO SAID SECTION 8(A), MAY DETERMINE. -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- EXPLANATORY NOTE This Amendment No. 3 to the Registrant's Registration Statement on Form S-3 (Commission File No. 333-62272) is being filed solely for the purpose of filing Exhibit 1.1 thereto. SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets the requirements for filing on Form S-3 and has duly caused this Amendment No. 3 to Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Rockland, Massachusetts on June 27, 2001. BIOSPHERE MEDICAL, INC. By: /s/ ROBERT M. PALLADINO -------------------------------------------- Robert M. Palladino VICE PRESIDENT AND CHIEF FINANCIAL OFFICER
Pursuant to the requirements of the Securities Act of 1933, the Amendment No. 3 to Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.
SIGNATURE TITLE DATE --------- ----- ---- /s/ JOHN M. CARNUCCIO * President, Chief Executive -------------------------------------- Officer and Director John M. Carnuccio (principal executive officer) June 27, 2001 Vice President and Chief /s/ ROBERT M. PALLADINO Financial Officer -------------------------------------- (principal financial and Robert M. Palladino accounting officer) June 27, 2001 /s/ JEAN-MARIE VOGEL * -------------------------------------- Chairman and Director Jean-Marie Vogel June 27, 2001 /s/ TIMOTHY J. BARBERICH * -------------------------------------- Director Timothy J. Barberich June 27, 2001 /s/ WILLIAM M. COUSINS, JR. * -------------------------------------- Director William M. Cousins, Jr. June 27, 2001 /s/ ALEXANDER M. KLIBANOV, PH.D. * -------------------------------------- Director Alexander M. Klibanov, Ph.D. June 27, 2001 /s/ PAUL A. LOONEY * -------------------------------------- Director Paul A. Looney June 27, 2001
II-1
SIGNATURE TITLE DATE --------- ----- ---- /s/ RICCARDO PIGLIUCCI * -------------------------------------- Director Riccardo Pigliucci June 27, 2001 /s/ DAVID P. SOUTHWELL * -------------------------------------- Director David P. Southwell June 27, 2001
* By: /s/ ROBERT M. PALLADINO ---------------------------------------- Robert M. Palladino ATTORNEY-IN-FACT
II-2 EXHIBIT INDEX
EXHIBIT NO DESCRIPTION ------------------------------------------------------------------------------------ 1.1 Form of Underwriting Agreement 4.1(1) Form of Common Stock Certificate 5.1(2) Opinion of Hale and Dorr LLP 23.1(2) Consent of Arthur Andersen LLP 23.2(2) Consent of Hale and Dorr LLP (included in Exhibit 5.1) 24.1(2) Power of Attorney
--------- (1) Incorporated by reference to the Registrant's Annual Report on Form 10-K for the fiscal year ended December 31, 1999 (2) Previously filed