As filed with the Securities and Exchange Commission on November 13, 2000
Registration No. 333-________
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
Under
The Securities Act of 1933
RATIONAL SOFTWARE CORPORATION
(Exact name of registrant as specified in its charter)
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Delaware
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54-1217099
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(State or Other Jurisdiction of Incorporation or Organization)
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(I.R.S. Employer Identification Number)
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18880 Homestead Road
Cupertino, California 95014
(408) 863-9900
(Address, including zip code, and telephone number, including area code,
of Registrant's principal executive offices
1997 Stock Option Plan
1998 Employee Stock Purchase Plan
2000 Director Option Plan
(Full title of the Plans)
TIMOTHY A. BRENNAN
CHIEF FINANCIAL OFFICER AND SECRETARY
RATIONAL SOFTWARE
CORPORATION
18880 HOMESTEAD ROAD
CUPERTINO, CALIFORNIA 95014
(408) 863-9900
(Name, address, including zip code, and telephone number, including area code,
of agent for service)
Copy to:
KATHARINE A. MARTIN, ESQ.
WILSON SONSINI GOODRICH & ROSATI
PROFESSIONAL CORPORATION
650 PAGE MILL ROAD
PALO ALTO, CA 94304
(650) 493-9300
CALCULATION OF REGISTRATION FEE
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Title of Each
Class of Securities
to be Registered |
Amount to be Registered |
Proposed Maximum
Offering
Price per Share |
Proposed Maximum
Aggregate
Offering Price |
Amount of
Registration Fee |
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1997 Stock Option Plan;
Common Stock, $0.01 par
value (shares reserved for
future grant)
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12,000,000
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$52.22 (1)
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$626,640,000
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$165,432.97
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1998 Employee Stock Purchase
Plan; Common Stock, $0.01 par
value (shares reserved for
future grant)
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294,697
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$44.39 (2)
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$13,081,600
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$3,453.55
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2000 Director Option Plan;
Common Stock, $0.01 par
value (shares reserved for
future grant)
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1,000,000
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$52.22 (3)
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$52,220,000
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$13,786.09
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TOTALS
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13,294,697
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$691,941,600
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$182,672.61
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(1) Computed in accordance with Rule 457(c).
(2) Computed in accordance with Rule 457(h)
solely for the purpose of calculating the registration fee. The computation is
based upon eighty-five percent of the average of the high and low prices as
reported on the Nasdaq National Market on November 9, 2000, the price at which
are granted pursuant to the plan.
(3) Computed in accordance with Rule 457(c)
STATEMENT UNDER GENERAL INSTRUCTION E - REGISTRATION OF ADDITIONAL SECURITIES
The Registrant previously filed a Registration Statement on Form S-8
with the Securities and Exchange Commission on or about August 4, 1998 (SEC
File No. 333-60579) (the "1997 Stock Plan Form S-8") in connection with the
1997 Stock Plan (the "1997 Plan"). This Registration Statement registers
additional shares of the Registrant's Common Stock to be issued pursuant to
the 1997 Plan. The contents of the 1997 Stock Plan Form S-8, and periodic
reports that the Registrant filed after the 1997 Stock Plan Form S-8 to
maintain current information about the Registrant, are hereby incorporated by
reference into this Registration Statement pursuant to General Instruction E
of Form S-8.
The Registrant previously filed a Registration Statement on Form S-8 with the
Securities and Exchange Commission on or about January 22, 1999 (SEC File No.
333-70989) (the "1998 ESPP Form S-8") in connection with the 1998 Employee
Stock Purchase Plan (the "1998 Plan"). This Registration Statement registers
additional shares of the Registrant's Common Stock to be issued pursuant to the
1998 Plan. The contents of the 1998 ESPP Form S-8, and periodic reports that
the Registrant filed after the 1998 ESPP Form S-8 to maintain current
information about the Registrant, are hereby incorporated by reference into
this Registration Statement pursuant to General Instruction E of Form S-8.
PART II
Information Required in the Registration Statement
Item 3. Incorporation of Documents by Reference.
The following documents filed by Rational Software Corporation (the "Registrant") with the Securities and
Exchange Commission (the "Commission") are incorporated herein by reference:
- The Registrant's Annual Report on Form 10-K for the year ended March 31, 2000 as filed with the Commission;
- The Registrant's Quarterly Reports on Form 10-Q for the fiscal quarter ended June 30, 2000 as filed with the Commission;
- The description of the Registrant's common stock contained in the Registrant's registration statement on Form S-4 (File No. 333-
29799) filed by the Registrant with the Commission on June 25, 1997 and any amendment or report filed hereafter for the purpose of
updating such description; and
- Item 1 of Registrant's Form 8-A dated May 25, 1984, as amended and Form 8-A/A dated May 25, 1995, as filed with the
Commission.
All documents subsequently filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act, 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 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.
Not applicable.
Item 6. Indemnification of Directors and Officers.
Section 145 of the Delaware General Corporation Law authorizes a court to award, or a corporation's board of directors to
grant, indemnity to officers and directors in terms sufficiently broad to permit such indemnification under certain circumstances for
liabilities (including reimbursement for expenses incurred) arising under the Securities Act of 1933, as amended. The Registrant's
certificate of incorporation, as amended, and Bylaws provide for indemnification of its officers, directors, employees and
otheragents to the maximum extent permitted by the Delaware General Corporation Law. In addition, the Registrant has, and intends in
the future to enter into, agreements to provide indemnification for directors and officers.
Item 7. Exemption from Registration
Not applicable.
Item 8. Exhibits
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Exhibit Number
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Description
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4.1
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Rational 1997 Stock Plan is incorporated
herein by reference to the Registrant's Registration
Statement on Form S-8 as filed on October 15, 1999 (File
No. 333-89089).
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4.2
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The 1998 Employee Stock Purchase Plan is incorporated
herein by reference to the Registrant's Registration
Statement on Form S-8 as filed on January 22, 1999 (File
No. 333-70989).
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4.3
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The 2000 Director Option Plan filed herewith.
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5.1
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Opinion of Wilson Sonsini Goodrich & Rosati, Professional
Corporation, as the legality of securities being
registered (Counsel to the Registrant)filed herewith.
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23.1
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Consent of Ernst & Young LLP, Independent Auditors.
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23.2
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Consent of Wilson Sonsini Goodrich & Rosati, Professional
Corporation (contained in Exhibit 5.1 hereto).
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24.1
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Power of Attorney (see page II-3).
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Item 9. Undertakings.
(a) The undersigned Registrant hereby undertakes:
(i) To file, during any period which offers or sales are being made, a post-effective amendment to this registration statement
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.
(ii) That, for the purpose of determining any liability under the Securities Act , each 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.
(iii) 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, each
filing of the registrant's annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where
applicable, each filing of an employee benefit plan's annual report pursuant to Section 15(d) of the Exchange Act) 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.
(c) Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and
controlling persons of the Registrant pursuant to the forgoing provisions, or otherwise, the Registrant has been advised that in the
opinion of the Commission such indemnification is against public policy as expressed in the Securities 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
hereunder, 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 of whether such indemnification by it is against public policy as expressed in the
Securities Act and will be governed by the final adjudication of such issue.
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 Cupertino, State of California, on
November 13, 2000.
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RATIONAL SOFTWARE CORPORATION
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By: |
/s/ Timothy A. Brennan
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Timothy A. Brennan
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Senior Vice President, Chief Financial Officer,
and Secretary
(Principal Financial Officer & Principal
Accounting Officer)
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POWER OF ATTORNEY
KNOW ALL THESE PERSONS BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints Thomas F. Bogan and Timothy A. Brennan
and each of them, jointly and severally, his attorneys-in-fact, each with full
power of substitution, for him in any and all capacities, to sign any
amendments to this Registration Statement on Form S-8 and to file the same,
with exhibits thereto and other documents in connection therewith, with the
Securities and Exchange Commission, hereby ratifying and conforming all that
each said attorneys-in-fact, 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 by the following persons in the capacities and on the
date indicated.
Date: November 13, 2000 /s/ Paul D. Levy
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Paul D. Levy, Founder and Chairman of the Board
Date: November 13, 2000 /s/ Michael T. Devlin
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Michael T. Devlin, Founder, Chief Executive
Officer, and Director
Date: November 13, 2000 /s/ Thomas F. Bogan
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Thomas F. Bogan, President, and Chief Operating
Officer
Date: November 13, 2000 /s/ Timothy A. Brennan
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Timothy A. Brennan, Senior Vice President,
Chief Financial Officer, and Secretary
(Principal Financial Officer
& Principal Accounting Officer)
Date: November 13, 2000 /s/ Leslie G. Denend
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Leslie G. Denend, Director
Date: November 13, 2000 /s/ John E. Montague
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John E. Montague, Director
Date: November 13, 2000 /s/ Allison R. Schleicher
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Allison R. Schleicher, Director
INDEX TO EXHIBITS
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Exhibit Number
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Description
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4.1
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Rational 1997 Stock Plan is incorporated
herein by reference to the Registrant's Registration
Statement on Form S-8 as filed on October 15, 1999 (File
No. 333-89089).
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4.2
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The 1998 Employee Stock Purchase Plan is incorporated
herein by reference to the Registrant's Registration
Statement on Form S-8 as filed on January 22, 1999 (File
No. 333-70989).
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4.3
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The 2000 Director Option Plan filed herewith.
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5.1
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Opinion of Wilson Sonsini Goodrich & Rosati, Professional
Corporation, as the legality of securities being
registered (Counsel to the Registrant)filed herewith.
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23.1
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Consent of Ernst & Young LLP, Independent Auditors.
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23.2
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Consent of Wilson Sonsini Goodrich & Rosati, Professional
Corporation (contained in Exhibit 5.1 hereto).
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24.1
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Power of Attorney (see page II-3).
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