<PAGE> 1
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JUNE 14, 2000.
REGISTRATION NO. 333-
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------------------
FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
------------------------
NEXT LEVEL COMMUNICATIONS, INC.
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
<TABLE>
<S> <C> <C>
DELAWARE 3674 94-3342408
(STATE OR OTHER JURISDICTION OF (PRIMARY STANDARD INDUSTRIAL (I.R.S. EMPLOYER
INCORPORATION OR ORGANIZATION) CLASSIFICATION CODE NUMBER) IDENTIFICATION NUMBER)
</TABLE>
6085 STATE FARM DRIVE
ROHNERT PARK, CALIFORNIA 94928
(707) 584-6820
(ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF
REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES)
KEITH A. ZAR
SENIOR VICE PRESIDENT, GENERAL COUNSEL,
CHIEF ADMINISTRATIVE OFFICER AND SECRETARY
NEXT LEVEL COMMUNICATIONS, INC.
6085 STATE FARM DRIVE
ROHNERT PARK, CALIFORNIA 94928
(707) 584-6820
(NAME, ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING
AREA CODE, OF AGENT FOR SERVICE)
------------------------
COPIES TO:
<TABLE>
<S> <C>
CHRISTOPHER L. KAUFMAN VINCENT J. PISANO
LATHAM & WATKINS SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
135 COMMONWEALTH DRIVE FOUR TIMES SQUARE
MENLO PARK, CALIFORNIA 94025 NEW YORK, NEW YORK 10036
(650) 328-4600 (212) 735-3500
</TABLE>
APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC:
From time to time after the effective date of this Registration Statement
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 of
1933, as amended, 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, please check the following box
and list the Securities Act registration statement number of the earlier
effective registration statement for the same offering. [X] 333-38618
If this Form is a post-effective amendment filed pursuant to Rule 462(c)
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. [ ]
CALCULATION OF REGISTRATION FEE
<TABLE>
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
TITLE OF EACH CLASS OF SECURITIES PROPOSED MAXIMUM PROPOSED MAXIMUM
TO AMOUNT TO BE OFFERING PRICE AGGREGATE OFFERING AMOUNT OF
BE REGISTERED REGISTERED PER SHARE(1) PRICE(1) REGISTRATION FEE
<S> <C> <C> <C> <C>
---------------------------------------------------------------------------------------------------------------------------
Common Stock ($0.01 par value)..... 345,000 $64.75 $22,338,750 $5,898
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
</TABLE>
(1) Estimated solely for the purpose of computing the amount of registration
fee, based on the average ($64.75) of the high ($66.25) and low ($63.25)
prices for the common stock as reported on The Nasdaq National Market on
June 14, 2000, in accordance with Rule 457(c) promulgated under the
Securities Act of 1933.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
<PAGE> 2
EXPLANATORY NOTE
This registration statement is being filed with respect to the registration
of an additional 345,000 shares of our common stock pursuant to Rule 462(b) of
the Securities Act of 1933. In accordance with Rule 462(b), this registration
statement incorporates by reference the contents of our registration statement
on Form S-1 (File No. 333-38618) filed with the SEC on June 6, 2000, as amended
by Amendment No. 1 thereto filed with the SEC on June 14, 2000, and which was
declared effective by the SEC on June 14, 2000.
EXHIBITS
<TABLE>
<CAPTION>
EXHIBIT
NUMBER DESCRIPTION
-------- -----------
<C> <C> <S>
5.1 -- Opinion of Latham & Watkins (incorporated by reference to
Exhibit 5.1 to our registration statement on Form S-1 (file
no. 333-38618)).
23.1 -- Independent Auditors' Consent.
23.2 -- Consent of Counsel. Reference is made to Exhibit 5.1.
24.1 -- Power of Attorney (incorporated by reference to Exhibit 24.1
to our registration statement on Form S-1 (file no.
333-38618)).
</TABLE>
<PAGE> 3
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Registrant has duly caused this registration statement to be signed on its
behalf by the undersigned, thereunto duly authorized, in the city of Rohnert
Park, State of California, on June 14, 2000.
NEXT LEVEL COMMUNICATIONS, INC.
By /s/ JAMES T. WANDREY
----------------------------------------
James T. Wandrey
Senior Vice President
and Chief Financial Officer
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, THIS
REGISTRATION STATEMENT HAS BEEN SIGNED BY EACH OF THE FOLLOWING PERSONS IN THE
CAPACITIES AND ON THE DATES INDICATED:
<TABLE>
<S> <C> <C>
/s/ PETER W. KEELER* Chief Executive Officer, (Principal Executive June 14, 2000
--------------------------------------------------- Officer) Chairman of the Board and President
Peter W. Keeler
/s/ JAMES T. WANDREY Senior Vice President and Chief Financial June 14, 2000
--------------------------------------------------- Officer (Principal Financial and Accounting
James T. Wandrey Officer)
/s/ LYNN FORESTER* Director June 14, 2000
---------------------------------------------------
Lynn Forester
/s/ PAUL S. LATCHFORD* Director June 14, 2000
---------------------------------------------------
Paul S. Latchford
/s/ FERDINAND C. KUZNIK* Director June 14, 2000
---------------------------------------------------
Ferdinand C. Kuznik
/s/ JOHN MCCARTNEY* Director June 14, 2000
---------------------------------------------------
John McCartney
/s/ SCOTT POTERACKI* Director June 14, 2000
---------------------------------------------------
Scott Poteracki
/s/ DENNIS RHEAULT* Director June 14, 2000
---------------------------------------------------
Dennis Rheault
/s/ RICHARD SEVERNS* Director June 14, 2000
---------------------------------------------------
Richard Severns
* /s/ JAMES T. WANDREY
---------------------------------------------------
Attorney-in-Fact
</TABLE>
<PAGE> 4
EXHIBIT INDEX
<TABLE>
<CAPTION>
EXHIBIT
NUMBER DESCRIPTION
-------- -----------
<C> <C> <S>
5.1 -- Opinion of Latham & Watkins (incorporated by reference to
Exhibit 5.1 to our registration statement on Form S-1 (file
no. 333-38618)).
23.1 -- Independent Auditors' Consent.
23.2 -- Consent of Counsel. Reference is made to Exhibit 5.1.
24.1 -- Power of Attorney (incorporated by reference to Exhibit 5.1
to our registration statement on Form S-1 (file no.
333-38618)).
</TABLE>
