As filed with the Securities and Exchange Commission on October 25, 2000
Registration No. 333-____
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
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TVIA, INC.
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(Exact name of registrant as specified in its charter)
Delaware 77-0549628
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(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
4001 Burton Drive
Santa Clara, CA 95054
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(Address of principal (Zip Code)
executive offices)
TVIA, INC. 2000 EMPLOYEE STOCK PURCHASE PLAN
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(Full title of the plan)
KENNY LIU Copy to:
Chief Executive Officer GABRIELLA A. LOMBARDI, ESQ.
Tvia, Inc. Pillsbury Madison & Sutro LLP
4001 Burton Drive 2550 Hanover Street
Santa Clara, CA 95054 Palo Alto, CA 94304
(408) 982-8588 (650) 233-4500
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(Name, address and telephone
number of agent for service)
<TABLE>
CALCULATION OF REGISTRATION FEE
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<CAPTION>
Proposed Proposed Amount of
Title of Securities Amount To Maximum Offering Maximum Aggregate Registration
To Be Registered Be Registered Price Per Share(1) Offering Price(1) Fee
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<S> <C> <C> <C> <C>
Common Stock, par value $0.001 333,333 shares $13.81 $4,603,329 $1,216
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</TABLE>
(1) Pursuant to Rule 457(h)(i), the proposed maximum offering price per share
and the registration fee has been computed on the basis of the average of the
high and low prices of the Common Stock as reported on the Nasdaq National
Market on October 18, 2000.
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The Registration Statement shall become effective upon filing in accordance with
Rule 462 under the Securities Act of 1933.
<PAGE>
PART I
ITEM 1. PLAN INFORMATION.*
ITEM 2. REGISTRANT INFORMATION AND EMPLOYEE PLAN ANNUAL INFORMATION.*
* Information required by Part I to be contained in the Section 10(a) prospectus
is omitted from this Registration Statement in accordance with Rule 428 under
the Securities Act of 1933 (the "Securities Act") and the Note to Part I of Form
S-8.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE.
The following documents filed by the Registrant with the Securities and
Exchange Commission are hereby incorporated by reference in this Registration
Statement:
(a) Registrant's prospectus dated August 8, 2000 and filed on August 9,
2000 pursuant to Rule 424(b) of the Securities Act and which contains audited
financial statements for the Registrant's latest fiscal year for which such
statements have been filed.
(b) Registrant's Quarterly Report on Form 10-Q (File No. 0-30539) for
the quarter ended June 30, 2000.
(c) The description of Registrant's Common Stock contained in
Registrant's registration statement on Form 8-A, filed May 1, 2000 as amended
August 7, 2000.
In addition, all documents subsequently filed by Registrant pursuant to
Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934,
prior to the filing of a post-effective amendment which indicates that all
securities offered have been sold or which deregisters all securities then
remaining unsold, shall be deemed to be incorporated by reference in this
registration statement and to be a part hereof from the date of filing of such
documents.
ITEM 4. DESCRIPTION OF SECURITIES.
Not applicable.
ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL.
The validity of the shares of common stock offered hereby has been
passed upon for the Registrant by Pillsbury Madison & Sutro LLP, Palo Alto,
California. As of the date of this Registration Statement, an entity in which
attorneys and former attorneys of Pillsbury Madison & Sutro LLP are members and
certain attorneys of Pillsbury Madison & Sutro LLP beneficially own an aggregate
of 39,000 shares of the Registrant's common stock.
ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS.
Section 145 of the Delaware General Corporation Law provides for the
indemnification of officers, directors, and other corporate agents in terms
sufficiently broad to indemnify such persons under certain circumstances for
liabilities (including reimbursement for expenses incurred) arising under the
Securities Act of 1933, as amended (the "Act"). Article VIII, Section B of the
Registrant's Amended and Restated Certificate of Incorporation (Exhibit 3.3 to
the Form S-1 Registration Statement) and Article 5, Section 5.1 of the
Registrant's Amended and Restated Bylaws (Exhibit 3.4 to the Form S-1
Registration Statement) provide for indemnification of the Registrant's
directors, officers, employees and other agents to the extent and under the
circumstances permitted
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<PAGE>
by the Delaware General Corporation Law. The Registrant has also entered into
agreements with our directors and officers that will require the Registrant,
among other things, to indemnify them against certain liabilities that may arise
by reason of their status or services as directors or officers to the fullest
extent not prohibited by law (Exhibit 10.4 to the Form S-1 Registration
Statement).
The Underwriting Agreement (Exhibit 1.1 to the Form S-1 Registration
Statement) provides for indemnification by the Underwriters of the Registrant,
its directors and officers, and by the Registrant of the Underwriters, for
certain liabilities, including liabilities arising under the Act, and afford
certain rights of contribution with respect thereto.
ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED.
Not applicable.
ITEM 8. EXHIBITS.
See Index to Exhibits, which list of exhibits is incorporated herein by
reference.
ITEM 9. UNDERTAKINGS.
(a) The undersigned Registrant hereby undertakes:
(1) To file, during any period in which offers or sales are being made,
a post-effective amendment to this Registration Statement:
(i) to include any prospectus required by section 10(a)(3) of the
Securities Act of 1933;
(ii) to reflect in the prospectus any facts or events arising
after the effective date of the registration statement (or the most
recent post-effective amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the information set forth
in the registration statement;
(iii) to include any material information with respect to the
plan of distribution not previously disclosed in the registration
statement or any material change to such information in the
registration statement;
provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not
apply if the information required to be included in a post-effective
amendment by those paragraphs is contained in periodic reports filed
by the Registrant pursuant to Section 13 or Section 15(d) of the
Exchange Act that are incorporated by reference in the Registration
Statement.
(2) That, for the purpose of determining any liability under the
Securities Act of 1933, each such post-effective amendment shall be deemed to be
a new registration statement relating to the securities offered therein, and the
offering of such securities at that time shall be deemed to be the initial bona
fide offering thereof.
(3) To remove from registration by means of a post-effective amendment
any of the securities being registered which remain unsold at the termination of
the offering.
(b) The undersigned registrant hereby undertakes that, for purposes of
determining any liability under the Securities Act of 1933, each filing of the
Registrant's annual report pursuant to Section 13(a) or Section 15(d) of the
Securities Exchange Act of 1934 (and, where applicable, each filing of an
employee benefit plan's annual report pursuant to Section 15(d) of the
Securities Exchange Act of 1934) that is incorporated by reference in the
registration statement shall be deemed to be a new registration statement
relating to the securities offered therein, and the offering of such securities
at that time shall be deemed to be the initial bona fide offering thereof.
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<PAGE>
(c) Insofar as indemnification for liabilities arising under the
Securities Act of 1933 may be permitted to directors, officers and controlling
persons of the registrant pursuant to the foregoing provisions, or otherwise,
the registrant has been advised that in the opinion of the Securities and
Exchange Commission such indemnification is against public policy as expressed
in the Act and is, therefore, unenforceable. In the event that a claim for
indemnification against such liabilities (other than the payment by the
registrant of expenses incurred or paid by a director, officer or controlling
person of the registrant in the successful defense of any action, suit or
proceeding) is asserted by such director, officer or controlling person in
connection with the securities being registered, the registrant will, unless in
the opinion of its counsel the matter has been settled by controlling precedent,
submit to a court of appropriate jurisdiction the question whether such
indemnification by it is against public policy as expressed in the Act and will
be governed by the final adjudication of such issue.
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<PAGE>
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 Santa Clara, State of California, on the 23rd
day of October, 2000.
TVIA, INC.
By /S/ KENNY LIU
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Kenny Liu
Chief Executive Officer
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints Kenny Liu and Michael Hoberg, and each of
them, his true and lawful attorneys-in-fact and agents, each with full power of
substitution and resubstitution, for him and in his name, place and stead, in
any and all capacities, to sign any and all amendments, including post-effective
amendments, to this Registration Statement, and to file the same, with exhibits
thereto and other documents in connection therewith, with the Securities and
Exchange Commission granting unto said attorneys-in-fact and agents, and each of
them, full power and authority to do and perform each and every act and thing
requisite and necessary to be done, as fully to all intents and purposes as he
might or could do in person, hereby ratifying and confirming all that each of
said attorneys-in-fact and agents, or his substitute or substitutes, may do or
cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in the
capacities and on the dates indicated.
<TABLE>
<CAPTION>
NAME TITLE DATE
<S> <C> <C>
/S/ KENNY LIU Chief Executive Officer (Principal October 23, 2000
------------------------------------------- Executive Officer)
Kenny Liu
/S/ MICHAEL HOBERG Vice President of Finance and Chief October 23, 2000
------------------------------------------- Financial Officer (Principal
Michael Hoberg Financial and Accounting Officer)
/S/ R. DAVID DICIOCCIO Director October 19, 2000
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R. David Dicioccio
/S/ STEVEN CHENG Director October 20, 2000
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Steven Cheng
/S/ JAMES BUNKER Director October 23, 2000
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James Bunker
/S/ M. K. TSAI Director October 23, 2000
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M. K. Tsai
</TABLE>
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<PAGE>
INDEX TO EXHIBITS
Exhibit
Number Exhibit
------- -------
5.1 Opinion of Pillsbury Madison & Sutro LLP.
23.1 Consent of Independent Public Accountants.
23.2 Consent of Pillsbury Madison & Sutro LLP (included in Exhibit 5.1).
24.1 Power of Attorney (see page 5).
99.1 Tvia, Inc. 2000 Employee Stock Purchase Plan.
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