S-8 1 0001.txt HAVEN BANCORP, INC. 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. 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) ---------------------------------------------------- WITH COPIES TO: W. EDWARD BRIGHT, ESQ. THACHER PROFFITT & WOOD Two World Trade Center - 39th Floor New York, New York 10048 (212) 912-7400 ----------------------------------------------------
CALCULATION OF REGISTRATION FEE ================================================================================================================================ 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) --------------------------------------------------------------------------------------------------------------------------------- Common Stock, $.01 par value 441,998 shares ---- $9,135,997.35 $2,411.90 ================================================================================================================================
(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. -------------------------------------------------------------------------------- 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. 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 Date --------- ----- ---- /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 -2- 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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