As filed with the Securities and Exchange Commission on
November [__], 2000 REGISTRATION NO.
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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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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.
1996 STOCK INCENTIVE PLAN
(Full title of the Plan)
----------------------------------------------------
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)
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WITH COPIES TO:
W. EDWARD BRIGHT, ESQ.
THACHER PROFFITT & WOOD
Two World Trade Center - 39th Floor
New York, New York 10048
(212) 912-7400
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CALCULATION OF REGISTRATION FEE
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Amount to be Registered(1) Proposed Maximum Offering Proposed Maximum Amount of
Title of Securities to be Price Per Share (2) Aggregate Offering Price Registration Fee
Registered (2)
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<S> <C> <C> <C> <C>
Common Stock, $.01 par value 441,998 shares ---- $9,135,997.35 $2,411.90
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(1) This registration statement ("Registration Statement") is being filed
for purposes of registering the 441,998 shares of common stock, par
value $0.01 per share, of Haven Bancorp, Inc. ("Haven") par value $0.01
per share, reserved for the issuance of awards granted pursuant to the
Haven Bancorp, Inc. 1996 Stock Incentive Plan, as amended ("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 Plan, may
become issuable under the Plan or options granted thereunder.
(2) 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.
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<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. 1996 Stock Incentive Plan, as amended
("Plan"). A total of 420,000 Shares were previously registered on June 28, 1996
for issuance under the Plan, by a registration statement filed with the
Securities and Exchange Commission on Form S-8, Registration No. 333-07083
("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 le
gality 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.
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<CAPTION>
Signature Title Date
--------- ----- ----
<S> <C> <C>
/s/ Philip S. Messina Chairman of the Board and Chief November 14, 2000
-------------------------- Executive Officer (Principal
Philip S. Messina 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
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<PAGE>
Signature Title Date
--------- ----- ----
/s/ Robert M. Sprotte Director November 14, 2000
---------------------
Robert M. Sprotte
Director November 9, 2000
/s/ Michael J. Fitzpatrick
Michael J. Fitzpatrick
Director November 8, 2000
/s/ Michael J. Levine
Michael J. Levine
Director November 9, 2000
/s/ Msgr. Thomas J. Hartman
Msgr. Thomas J. Hartman
Director November 14, 2000
/s/ Michael A. McManus, Jr.
---------------------------
Michael A. McManus, Jr.
Director November 8, 2000
/s/ Garret Goodbody
Garret Goodbody
Director November 9, 2000
/s/ Hanif Dahya
Hanif Dahya
/s/ Richard Lashley Director November 8, 2000
-------------------
Richard Lashley
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