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As filed with the Securities and Exchange Commission on June 23, 2000
Registration No. 333-78249
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
POST-EFFECTIVE AMENDMENT NO. 1
TO
FORM S-3
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
TUCKER ANTHONY SUTRO
(Exact name of registrant as specified in its charter)
DELAWARE 04-3335712
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification Number)
ONE BEACON STREET, BOSTON, MASSACHUSETTS 02108, (617) 725-2000
(Address, including zip code, and telephone number, including area code, of
registrant's principal executive offices)
JOHN H. GOLDSMITH, CHIEF EXECUTIVE OFFICER,
ONE BEACON STREET, BOSTON, MASSACHUSETTS 02108, (617) 725-2000
(Name and address, including zip code, and telephone number,
including area code, of agent for service)
-----------------
With a copy to:
MEREDITH B. CROSS KEVIN J. MCKAY
WILMER, CUTLER & PICKERING TUCKER ANTHONY SUTRO
2445 M STREET, N.W. ONE BEACON STREET
WASHINGTON, D.C. 20037 BOSTON, MASSACHUSETTS 02108
(202) 663-6000 (617) 725-2000
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DEREGISTRATION OF SECURITIES
A total of 228,665 shares of common stock, par value $.01 per share
("Common Stock"), of Tucker Anthony Sutro, a Delaware corporation (the
"Company," formerly named Freedom Securities Corporation) were registered under
the Securities Act of 1933, as amended, by the filing of a Registration
Statement on Form S-3 (File No. 333-78249) (the "Registration Statement"). The
Registration Statement was declared effective by the Securities and Exchange
Commission on May 19, 1999.
The purpose of this Post-Effective Amendment No. 1 to the Registration
Statement is to deregister and remove from registration such portion of the
228,665 shares of Common Stock, previously registered on the Registration
Statement, which have not been sold as of the date hereof.
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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-3 and has duly caused this registration
statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of Boston, Commonwealth of Massachusetts, on June 21,
2000.
TUCKER ANTHONY SUTRO
By: /s/ John H. Goldsmith
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Name: John H. Goldsmith
Title: Chief Executive Officer
Pursuant to the requirements of the Securities Act of 1933, as amended,
this registration statement has been signed by the following persons in their
capacities and on the dates indicated.
<TABLE>
<CAPTION>
SIGNATURE CAPACITY DATE
--------- -------- ----
<S> <C> <C>
/s/ John H. Goldsmith Chairman, Chief Executive Officer and June 21, 2000
----------------------- Director
John H. Goldsmith
/s/ Kenneth S. Klipper Executive Vice President and Chief June 21, 2000
---------------------- Financial Officer
Kenneth S. Klipper
_______________________ Director June 21, 2000
John F. Luikart*
______________________ Director June 21, 2000
David P. Prokupek*
______________________ Director
Mark T. Whaley
______________________ Director June 21, 2000
Robert H. Yevich*
______________________ Director June 21, 2000
C. Hunter Boll*
______________________ Director June 21, 2000
Winston J. Churchill*
______________________ Director June 21, 2000
Thomas M. Hagerty*
______________________ Director June 21, 2000
David V. Harkins*
______________________ Director June 21, 2000
Hugh R. Harris*
______________________ Director June 21, 2000
Seth W. Lawry*
*By: /s/ John H. Goldsmith June 21, 2000
-----------------------
Attorney-In-Fact
</TABLE>
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