Registration No. 33-72914
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
KINNARD INVESTMENTS, INC.
(Exact Name of Registrant as Specified in its Charter)
Minnesota
(State or Other Jurisdiction of Incorporation or Organization)
41-0972952
(I.R.S. Employer Identification No.)
920 Second Avenue South
Minneapolis, Minnesota 55402
(612) 370-2700
(Address, Including Zip Code, and Telephone Number, Including Area Code, of
Registrant's Principal Executive Offices)
William F. Farley, Chief Operating Officer
Kinnard Investments, Inc.
920 Second Avenue South
Minneapolis, Minnesota 55402
(612) 370-2700
(Name, Address, Including Zip Code, and Telephone Number, Including Area Code,
of Agent for Service)
Copies to:
Timothy M. Heaney
Fredrikson & Byron, P.A.
900 Second Avenue South
Minneapolis, Minnesota 55402
(612) 347-7019
Approximate date of commencement of proposed sale to
the public: Sales were completed on
December 1, 1996.
<PAGE>
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 of
1933, other than securities offered only in connection with dividend or interest
reinvestment plans, check the following box. [ X ]
If this Form is filed to register additional securities for an offering pursuant
to Rule 424(b) under the Securities Act, check the following box and list the
Securities Act registration statement number of earlier effective registration
statement for the same offering. [ ]
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. [ ]
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.
<PAGE>
This Post-Effective amendment is being filed to de-register 517,313
shares of Common Stock of Kinnard Investments, Inc. (the "Registrant"). Such
shares were registered under a Registration Statement on Form S-3, Registration
No. 33-72914 for resale by certain selling shareholders and remained unsold at
the termination of the offering. This final Post-Effective Amendment is being
filed in accordance with the Registrant's undertaking set forth in Part II, Item
17(a)(3) of the Registration Statement.
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 caused this amendment to the
Registration Statement to be signed on its behalf by the undersigned, thereunto
duly authorized, in the City of Minneapolis, State of Minnesota, on August 25,
1997.
KINNARD INVESTMENTS, INC.
By /s/ Hilding C. Nelson
Hilding C. Nelson, Chairman of the Board
Pursuant to the requirements of the Securities Act of 1933, this
amendment to the Registration Statement has been signed by the following persons
in the capacities and on the dates indicated.
Signature Title Date
/s/ Hilding C. Nelson Chairman of the Board and Director August 25, 1997
Hilding C. Nelson (principal executive officer)
/s/ Daniel R. Sass Treasurer (principal financial August 25, 1997
Daniel R. Sass and accounting officer)
/s/ William F. Farley Chief Operating Officer and Director August 25, 1997
William F. Farley
/s/ Stephen H. Fischer Director August 25, 1997
Stephen H. Fischer
/s/ Andrew J. O'Connell Director August 25, 1997
Andrew J. O'Connell
/s/ Robert S. Spong Director August 25, 1997
Robert S. Spong
