As filed with the Securities and Exchange
Commission on November [__], 2000 REGISTRATION NO.
--------------------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
------------------------------------------
FORM S-8
REGISTRATION STATEMENT
under
THE SECURITIES ACT OF 1933
------------------------------------------
HAVEN BANCORP, INC.
(Exact name of registrant as specified in its charter)
DELAWARE 11-3153802
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
615 Merrick Avenue
Westbury, New York 11590
(516) 683-4100
(Address of principal executive office,
including ZIP code, and telephone
number, including area code)
---------------
HAVEN BANCORP, INC.
1993 INCENTIVE STOCK OPTION PLAN AND
HAVEN BANCORP, INC.
1993 STOCK OPTION PLAN FOR OUTSIDE DIRECTORS
(Full titles of the Plans)
----------------------------------------------------
PHILIP S. MESSINA
CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER
HAVEN BANCORP, INC.
615 Merrick Avenue
Westbury, New York 11590
(516) 683-4100
(Name, Address, Including ZIP Code, and Telephone Number,
Including Area Code, of Agent for Service)
----------------------------------------------------
With Copies to:
W. EDWARD BRIGHT, ESQ.
THACHER PROFFITT & WOOD
Two World Trade Center - 39th Floor
New York, New York 10048
(212) 912-7400
----------------------------------------------------
<TABLE>
<CAPTION>
CALCULATION OF REGISTRATION FEE
============================= ========================== =========================== ========================== =================
Proposed Maximum
Title of Securities to be Proposed Maximum Offering Aggregate Offering Price Amount of
Registered Amount to be Registered(1) Price Per Share (4) (4) Registration Fee
----------------------------- -------------------------- --------------------------- -------------------------- -----------------
<S> <C> <C> <C> <C>
Common Stock, $.01 par value 69,430 shares(2) ---- $642,861.45 $169.72
----------------------------- -------------------------- --------------------------- -------------------------- -----------------
Common Stock, $.01 par value 29,754 shares(3) ---- $848,918.81 $224.11
============================= ========================== =========================== ========================== =================
</TABLE>
(1) This registration statement ("Registration Statement") is being filed for
purposes of registering an additional number of shares of common stock, par
value $0.01 per share, of Haven Bancorp, Inc. ("Haven"), reserved for the
issuance of awards granted pursuant to the Haven Bancorp, Inc. 1993
Incentive Stock Option Plan, as amended ("Incentive Plan"), and the Haven
Bancorp, Inc. Stock Option Plan for Outside Directors, as amended
("Directors Plan"). In addition to the shares being registered hereunder,
this Registration Statement also covers an undetermined number of shares of
common stock of Haven, that by reason of certain events specified in the
Incentive Plan or Directors Plan, may become issuable under the Incentive
Plan or Directors Plan or options granted thereunder.
(2) Represents the number of additional shares available for issuance pursuant
to the Incentive Plan.
(3) Represents the number of additional shares available for issuance pursuant
to the Directors Plan.
(4) Estimated solely for purpose of calculating the registration fee in
accordance with Rule 457(h) of the Securities Act of 1933, pursuant to
which shares subject to outstanding options are deemed to be offered at the
prices at which such options may be exercised and shares that may be
acquired upon exercise of options granted in the future are deemed to be
offered at $28.53125 per share, the average of the high and low sales
prices of Haven common stock at the close of the day on November 9, 2000 as
reported on the Nasdaq Stock Market.
--------------------------------------------------------------------------------
<PAGE>
This Registration Statement registers additional shares of Common Stock,
par value $.01 per share, of Haven Bancorp, Inc. ("Shares") for issuance under
the terms of the Haven Bancorp, Inc. 1993 Incentive Stock Option Plan, as
amended ("Incentive Plan"), or the Haven Bancorp, Inc. 1993 Stock Option Plan
for Outside Directors, as amended ("Directors Plan"). A total of 991,874 Shares
were previously registered on June 3, 1994, 694,312 for issuance under the
Incentive Plan and 297,562 for issuance under the Directors Plan, by a
registration statement filed with the Securities and Exchange Commission on Form
S-8, Registration No. 033-79740 ("Prior Registration Statement"). Pursuant to
General Instruction E of Form S-8, the entire contents of the Prior Registration
Statement are hereby incorporated herein by reference.
ITEM 8. EXHIBITS.
5.1 Opinion of Thacher Proffitt & Wood, counsel for Registrant, as to the
legality of the securities being registered.
23.1 Consent of Thacher Proffitt & Wood (included in Exhibit 5.1).
23.2 Consent of KPMG LLP.
<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 Westbury, State of New York, on the 14th day of
November, 2000.
HAVEN BANCORP, INC.
Registrant
By: /s/ Philip S. Messina
---------------------------------
Philip S. Messina
Chairman of the Board and
Chief Executive Officer
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 dates indicated.
SIGNATURE TITLE DATED
--------- ----- -----
/s/ Philip S. Messina
--------------------------- Chairman of the Board and Chief November 14, 2000
Philip S. Messina Executive Officer (Principal
executive officer)
/s/ William J. Jennings II
-------------------------- President and Director November 14, 2000
William J. Jennings II
/s/ Catherine Califano Senior Vice President and Chief November 14, 2000
--------------------------- Financial Officer (Principal
Catherine Califano accounting officer)
/s/ George S. Worgul
--------------------------- Director November 14, 2000
George S. Worgul
-2-
<PAGE>
/s/ Robert M. Sprotte
--------------------------- Director November 14, 2000
Robert M. Sprotte
/s/ Michael J. Fitzpatrick
--------------------------- Director November 9, 2000
Michael J. Fitzpatrick
/s/ Michael J. Levine
--------------------------- Director November 8, 2000
Michael J. Levine
/s/ Msgr. Thomas J. Hartman
--------------------------- Director November 9, 2000
Msgr. Thomas J. Hartman
/s/ Michael A. McManus, Jr.
--------------------------- Director November 14, 2000
Michael A. McManus, Jr.
/s/ Garret Goodbody
--------------------------- Director November 8, 2000
Garret Goodbody
/s/ Hanif Dahya
--------------------------- Director November 9, 2000
Hanif Dahya
/s/ Richard Lashley
--------------------------- Director November 8, 2000
Richard Lashley
-3-
