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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A/A1
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
EXCELSIOR PRIVATE EQUITY FUND II, INC.
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(Exact name of registrant as specified in its charter)
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<S> <C>
MARYLAND Applied for
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(State of incorporation or organization) (I.R.S. Employer Identification No.)
114 WEST 47TH STREET, NEW YORK, NEW YORK 10036-1532
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(Address of principal executive offices) (Zip Code)
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Securities to be registered pursuant to Section 12(b) of the
Title of each class Name of each exchange on which
to be so registered each class is to be registered
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If this Form relates to the registration of a class of debt securities and is
effective upon filing pursuant to General Instruction A.(c)(1), please check
the following box. [ ]
If this Form relates to the registration of a class of debt securities and is
to become effective simultaneously with the effectiveness of a concurrent
registration statement under the Securities Act of 1933 pursuant to General
Instruction A.(c)(2), please check the following box. [ ]
Securities to be registered pursuant to Section 12(g) of the Act:
COMMON STOCK, PAR VALUE $0.01 PER SHARE
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(Title of class)
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(Title of class)
Page 1 of 36
Exhibit Index is located at page 4.
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ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED.
A complete description of the Common Stock, $0.01 par value per share, which
is to be registered hereunder is contained under the captions "The Company,"
"Terms of the Offering and Purchase of Shares" and "Description of Shares" in
the Prospectus forming part of the Registration Statement on Form N-2 (the
"Registration Statement") of Excelsior Private Equity Fund II, Inc. (the
"Company"), filed with the Securities and Exchange Commission under the
Securities Act of 1933, as amended, on March 24, 1997. Such description is
hereby incorporated by reference.
ITEM 2. EXHIBITS.
The following Exhibits are filed herewith.
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Exhibit
Number Description
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2.1 Articles of Incorporation of the Company.*
2.2 By-Laws of the Company.*
2.3 Specimen Stock Certificate.
2.4 Subscription Agreement.*
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* Previously filed.
Page 2 of 36
Exhibit Index is located at page 4.
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange
Act of 1934, the registrant has duly caused this Amendment No. 1 to the
registration statement to be signed on its behalf by the undersigned, thereto
duly authorized.
(Registrant) EXCELSIOR PRIVATE EQUITY FUND II, INC.
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Date May 29, 1997
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By: /s/ David I. Fann
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Name: David I. Fann
Title: President and Chief Executive Officer
Page 3 of 36
Exhibit Index is located at page 4.
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EXHIBIT INDEX
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Page
Exhibit No. Exhibit Number
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2.1 Articles of Incorporation of the Company.* 5
2.2 By-Laws of the Company.* 15
2.3 Specimen Stock Certificate.
2.4 Subscription Agreement.* 32
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* Previously filed.
Page 4 of 36
Exhibit Index is located at page 4.
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EXHIBIT 2.3
EXCELSIOR PRIVATE EQUITY FUND II, INC.
TOTAL AUTHORIZED ISSUE
150,000 SHARES PAR VALUE $.01 EACH
COMMON STOCK
SEE REVERSE FOR CERTAIN DEFINITIONS
THIS IS TO CERTIFY THAT __________________________________ IS THE OWNER OF
___________________________SPECIMEN_______________________________________
fully paid and non-assessable shares of the above Corporation transferable only
on the books of the Corporation by the holder hereof in person or by duly
authorized Attorney upon surrender of this Certificate properly endorsed.
WITNESS, the seal of the Corporation and the signatures of its duly authorized
officers.
DATED
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Secretary President
(c) 1987 Corpex Banknote Co., New York
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The following abbreviations, when used in the inscription on the face
of this certificate, shall be construed as though they were written out in full
according to applicable laws or regulations:
TEN COM - as tenants in common
TEN ENT - as tenants by the entireties
JT TEN - as joint tenants with right of survivorship and not as
tenants in common
UNIF GIFT MIN ACT - ...... Custodian ................
(Cust) (Minor)
under Uniform Gifts to Minors Act, .................
(State)
Additional abbreviations may also be used through not in the above list.
For value received ____________ hereby sell, assign and transfer unto
PLEASE INSERT SOCIAL SECURITY OR OTHER
IDENTIFYING NUMBER OF ASSIGNEE
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(PLEASE PRINT NAME OR TYPEWRITE NAME AND ADDRESS
INCLUDING POSTAL ZIP CODE OF ASSIGNEE)
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represented by the within Certificate, and do hereby irrevocably constitute and
appoint
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to transfer the said Shares on the books of the within named Corporation with
full power of substitution in the premises.
Dated ___________________ 19______________
In presence of
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NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS
WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR WITHOUT ALTERATION
OR ENLARGEMENT OR ANY CHANGE WHATEVER.
