-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WvX5RBsM7nXbb8/ajlWaSaDacMeq6wMOqhRs/lVYmlASEwVd2bYwyehfkDoazOJC mwU63ncexNXdzBORVoLvXg== 0000927016-98-000867.txt : 19980309 0000927016-98-000867.hdr.sgml : 19980309 ACCESSION NUMBER: 0000927016-98-000867 CONFORMED SUBMISSION TYPE: 8-A12G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980306 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: DATAWARE TECHNOLOGIES INC CENTRAL INDEX KEY: 0000875942 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 061232140 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-A12G SEC ACT: SEC FILE NUMBER: 000-21860 FILM NUMBER: 98559015 BUSINESS ADDRESS: STREET 1: ONE CANAL PARK STREET 2: SUITE 3300 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 6176210820 MAIL ADDRESS: STREET 1: 222 THIRD STREET STREET 2: SUITE 3300 CITY: CAMBRIDGE STATE: MA ZIP: 02142 8-A12G 1 FORM 8-A12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 DATAWARE TECHNOLOGIES, INC. --------------------------------------------------------------------- (Exact name of registrant as specified in its charter) DELAWARE 06-1232140 ---------------------- ------------------- (State of incorporation (I.R.S. Employer or organization) Identification No.) ONE CANAL PARK, CAMBRIDGE, MASSACHUSETTS 02141 ----------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) If this form relates to the If this form relates to the registration of a class of registration of a class of securities pursuant to Section securities pursuant to Section 12(b) of the Exchange Act and is 12(g) of the Exchange Act and is effective pursuant to General effective pursuant to General Instruction A.(c), please check Instruction A.(d), please check the following box.[ ] the following box. [X] Securities Act registration statement file number to which this form relates: NOT APPLICABLE -------------- (If applicable) Securities to be registered pursuant to Section 12(b) of the Act: Title of each class Name of each Exchange on which to be so registered each class is to be registered - ------------------- ------------------------------ NONE NOT APPLICABLE - ------------------- ------------------------------ Securities to be registered pursuant to Section 12(g) of the Act: JUNIOR PARTICIPATING PREFERRED STOCK PURCHASE RIGHTS ----------------------------------------------------------------------- (Title of Class) ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED. On June 28, 1996, the Board of Directors of Dataware Technologies, Inc. (the "Company") adopted a Shareholder Rights Plan and declared a dividend distribution of one share purchase right (a "Right") for each outstanding share of the Company's common stock, $0.01 par value per share (the "Common Stock"), to stockholders of record at the close of business on July 8, 1996. Each right entitles the record holder to purchase from the Company one one-hundredth of a share (a "Unit") of the Company's Series A Junior Participating Preferred Stock, $0.01 par value per share (the "Preferred Shares"), at a price of $30.00 per Unit (the "Purchase Price"), subject to adjustment. The description and terms of the Rights are set forth in a Rights Agreement between the Company and American Stock Transfer & Trust Company (the "Rights Agent"), which was executed as of July 8, 1996 and amended as of April 14, 1997 (as so amended, the "Rights Agreement"). The Rights will expire on July 8, 2006 (the "Final Expiration Date"), unless earlier redeemed by the Company as described below. Until the Distribution Date, (i) the Rights will be evidenced by the Common Stock certificates and will be transferred with, and only with, such Common Stock certificates, and the Company will distribute no separate rights certificate ("Rights Certificates"), and (ii) the surrender for transfer of any certificate for Common Stock outstanding will also constitute the transfer of the Rights associated with the Common Stock represented by such certificate. The Rights will become exercisable, and transferable apart from the shares of Common Stock, on the Distribution Date, which will be the earliest of (i) the date ten days after the date of a public announcement that a person or group has acquired beneficial ownership of 15% or more of the outstanding shares of Common Stock, or (ii) the close of business on the tenth business day after commencement of a tender or exchange offer which, upon its consummation, would result in a person or group beneficially owning 15% or more of the outstanding shares of Common Stock. As soon as practicable after the Distribution Date, the Rights Agent will send to the record holders of the Common Stock on the Distribution Date one or more Rights Certificates, which will thereafter evidence the Rights. Until a Right is exercised, the holder thereof, as such, will have no ------- rights as a stockholder of the Company, including, without limitation, the right to vote, to receive dividends or distributions, any preemptive rights, or the right to participate in or receive any notice of proceedings of the Company. In the event that, after the Distribution Date, any person or group becomes the beneficial owner of 15% or more of the outstanding Common Stock (an "Acquiring Person"), then each holder of a Right other than the Acquiring Person will thereafter have the right to receive, upon exercise, Common Stock (or, in certain circumstances, cash, property or other securities of the Company) having a value equal to two times the Purchase Price of the Right. The Rights, however, will not be so exercisable until after they are no longer redeemable by the Company. These provisions providing for the purchase of Common Stock under these circumstances are hereinafter referred to as "Flip-in Provisions." Holders of Rights shall have no right to purchase shares of Common Stock on terms described in the Flip-in Provisions when an Acquiring Person has acquired shares of Common Stock (i) pursuant to a tender offer or exchange offer for all outstanding shares of Common Stock at a price and on terms determined, by at least a majority of the Company's "Continuing Directors" (as defined in the Rights Agreement) who are not -2- officers of the Company and are not affiliated with the Acquiring Person, after receiving advice from at least one investment banking firm, to be fair to stockholders and in the interest of stockholders and the Company, or (ii) pursuant to a tender offer by an Acquiring Person that is made in the manner prescribed by Section 14(d) of the Securities Exchange Act of 1934, as amended, provided that (A) such tender offer shall provide for the acquisition of all - -------- Common Stock outstanding for cash, and (B) such tender offer, when consummated, shall cause the Acquiring Person to beneficially own 80% or more of the Common Stock then outstanding. In addition, if, after the acquisition of beneficial ownership of 15% or more of the outstanding shares of Common Stock of the Company (a "Stock Acquisition Date"), the Company is acquired in certain specified mergers or other business combination transactions or if 50% or more of the assets or earning power of the Company and its subsidiaries are sold, each holder of a Right (except Rights held by an Acquiring Person which previously have been voided) shall thereafter have the right to receive, upon exercise, shares of the common stock of the acquiring company (the "Acquiring Company") having a value equal to two times the Purchase Price of the Right. These provisions providing for the purchase of common stock of the Acquiring Company are hereinafter referred to as "Flip-over Provisions." Holders of Rights shall have no right to purchase shares of the common stock of an Acquiring Company on terms described in the Flip-over Provisions if (i) the Acquiring Company has acquired shares of Common Stock pursuant to a tender offer or exchange offer for all outstanding shares of Common Stock at a price and on terms determined, by at least a majority of the Company's "Continuing Directors" (as defined in the Rights Agreement) who are not officers of the Company and are not affiliated with the Acquiring Company, after receiving advice from at least one investment banking firm, to be fair to stockholders and in the interest of stockholders and the Company, (ii) the price per share of Common Stock offered in such transaction is not less than the price per share of Common Stock paid to all holders of shares of Common Stock whose shares were purchased pursuant to such tender offer or exchange offer, and (iii) the form of consideration being offered to the remaining holders of shares of Common Stock pursuant to such transaction is the same as the form of consideration paid pursuant to such tender offer or exchange offer. The Board may redeem all, but not less than all, of the Rights at $0.001 per Right (the "Redemption Price") at any time prior to the earliest of (i) the expiration of ten days after the Stock Acquisition Date, and (ii) the Final Expiration Date. Upon redemption by the Board, the Rights will terminate and the only right of the holders of the Rights will be to receive the Redemption Price. No supplement or amendment to the Rights Agreement may be made to change the Redemption Price, the Final Expiration Date, the Purchase Price, or the number of shares of Common Stock for which a Right is exercisable. Prior to the Distribution Date, however, the Company may amend or supplement any other terms of the Rights Agreement. After the Distribution Date, so long as the change does not adversely affect the interests of the holders of Rights Certificates (other than an Acquiring Person or an Affiliate or Associate of an Acquiring Person), the Company may amend or supplement any terms of the Rights Agreement, other than those specified in the first sentence of this paragraph, with the exception that the Company may not lengthen (i) a time period relating to when the Rights may be redeemed at such time as the -3- Rights are not then redeemable, or (ii) any other time period unless such lengthening is for the purpose of protecting, enhancing or clarifying the rights or benefits of the holders of the Rights. The Purchase Price payable, the number of Preferred Shares or other securities or property issuable upon exercise of the Rights, and the number of Rights outstanding are subject to adjustment from time to time by the Company to prevent dilution (i) in the event of a stock dividend on, or a subdivision, combination or reclassification of, the Preferred Shares, (ii) upon the grant to holders of the Preferred Shares of certain rights or warrants to subscribe for or purchase Preferred Shares at a price, or securities convertible into Preferred Shares with a conversion price, less than the then current market price of the Preferred Shares, or (iii) upon the distribution to holders of the Preferred Shares of evidences of indebtedness or assets or of subscription rights or warrants (other than those referred to above). The number of outstanding Rights and the number of one one-hundredths of a Preferred Share issuable upon exercise of each Right are also subject to adjustment in the event of a stock split of the Common Stock or a stock dividend on shares of Common Stock payable in shares of Common Stock, or consolidations or combinations of the shares of Common Stock occurring, in any such case, prior to the Distribution Date. With certain exceptions, no adjustment in the Purchase Price will be required until cumulative adjustments amount to at least 1% of the Purchase Price. The Rights Agreement, which is contained in the exhibits hereto, is incorporated herein by reference. The foregoing description of the Rights is qualified in its entirety by reference to the Rights Agreement and such exhibits thereto. ITEM 2. EXHIBITS. 1. Rights Agreement between Dataware Technologies, Inc. and American Stock Transfer & Trust Company, as Rights Agent, dated July 8, 1996, filed as an exhibit to the Company's Current Report on Form 8-K (File No. 0-21860) on July 18, 1996, and incorporated herein by reference. 2. First Amendment to the Rights Agreement, dated April 14, 1997, filed as an exhibit to the Company's Current Report on Form 8-K (File No. 0-21860) on April 17, 1997, and incorporated herein by reference. -4- SIGNATURES Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized. DATAWARE TECHNOLOGIES, INC. Dated: March 6, 1998 By: /s/ Michael Gonnerman ----------------------- Michael Gonnerman Principal Accounting and Financial Officer (acting) -5- -----END PRIVACY-ENHANCED MESSAGE-----