Proc-Type: 2001,MIC-CLEAR
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0000891020-96-000906.txt : 19960814
0000891020-96-000906.hdr.sgml : 19960814
ACCESSION NUMBER: 0000891020-96-000906
CONFORMED SUBMISSION TYPE: S-3/A
PUBLIC DOCUMENT COUNT: 3
FILED AS OF DATE: 19960812
SROS: NASD
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MICROSOFT CORP
CENTRAL INDEX KEY: 0000789019
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED
SOFTWARE [7372]
IRS NUMBER: 911144442
STATE OF INCORPORATION: WA
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: S-3/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-08081
FILM NUMBER: 96609480
BUSINESS ADDRESS:
STREET 1: ONE MICROSOFT WAY #BLDG 8
STREET 2: NORTH OFFICE 2211
CITY: REDMOND
STATE: WA
ZIP: 98052
BUSINESS PHONE: 2068828080
MAIL ADDRESS:
STREET 1: ONE MICROSOFT WAY - BLDG 8
STREET 2: NORTH OFFICE 2211
CITY: REDMOND
STATE: WA
ZIP: 98052-6399
S-3/A
1
PRE-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
MICROSOFT CORPORATION
------------------------------------------------------
(Exact name of registrant as specified in its charter)
WASHINGTON 91-1144442
(State or other jurisdiction (IRS Employer
of incorporation or organization) Identification No.)
Robert A. Eshelman
Associate General Counsel
One Microsoft Way
Redmond, Washington 98052-6399
(206) 882-8080
---------------------------------------------------------
(Name, address, including zip code, and telephone number,
including area code, of agent for service)
If the only securities being registered on this form are being offered
pursuant to dividend or interest reinvestment plans, please check the following
box:
//
/X/
CALCULATION
OF
REGISTRATION
FEE
Title of each
class
Proposed
maximum
Proposed
maximum
of securities to be
Amount to
be offering
price per
aggregate
offering
Amount of
registered
registered*
share*
price**
registration fee
- -----------------
-- ------------
--------------
---- ------------
------ ----------
------
Common shares
322,850
shares
$116.0625
$37,470,778
$12,920.96***
par value
170 shares
$124.00
$21,080
$100.00
$.00005
(323,020 total)
i
3
TABLE OF CONTENTS
PAGE
AVAILABLE
INFORMATION............................................................................. 2
INCORPORATION OF CERTAIN INFORMATION BY
REFERENCE................................................. 2
THE
COMPANY.......................................................................................
3
SELLING
SHAREHOLDERS..............................................................................
3
LEGAL
MATTERS..................................................................................... 4
EXPERTS...........................................................................................
4
DISCLOSURE OF COMMISSION POSITION ON
INDEMNIFICATION FOR SECURITIES ACT
LIABILITIES............... 4
INFORMATION NOT REQUIRED IN
PROSPECTUS............................................................ II-1
SIGNATURES........................................................................................
II-3
INDEX TO
EXHIBITS................................................................................. II-4
-ii-
4
PROSPECTUS
MICROSOFT CORPORATION
323,020 Common Shares
----------------------------------------
The Shares are traded on the Nasdaq Stock Market. The average of the
high and low prices of the Shares as reported on the Nasdaq Stock Market on July
11, 1996 was $116.0625 per Share.
----------------------------------------
I-1
5
AVAILABLE INFORMATION
----------------------------------------
INCORPORATION OF CERTAIN INFORMATION BY REFERENCE
1. Microsoft's Annual Report on Form 10-K for the year ended June 30,
1995.
----------------------------------------
6
This Prospectus constitutes a part of a Registration Statement which
Microsoft has filed with the Commission under the 1933 Act, with respect to the
Shares. This Prospectus omits certain of the information contained in the
Registration Statement, and reference is hereby made to the Registration
Statement and related Exhibits thereto for further information with respect to
Microsoft and the securities offered hereby. Such additional information can be
obtained from the Commission's office in Washington, D.C. Any statements
contained herein concerning the provisions of any documents are not necessarily
complete, and, in each instance, reference is made to the copy of such document
filed as an exhibit to the Registration Statement or otherwise filed with the
Commission. Each such statement is qualified in its entirety by such reference.
THE COMPANY
SELLING SHAREHOLDERS
Microsoft
Shares
Name of
Owned Prior
to
Received
from
Shares
Selling
Shareholders
(1)
Offering
Microsoft
Owned
(2)
- ------------
--------------
--------------
-- ------
----------
-------------
---------
Kursh, Elroy
D.
0
3,769
3,769
Kursh,
Deanna C.
3,230
3,230
Merrill,
Pickard,
Anderson
0
29,866
29,866
MPAE V
Affiliates
Fund LP
0
1,248
1,248
Technology
Venture
Investors-IV,
L.P. (3)
0
56,225
56,225
Oak Partners
0
34,544
34,544
Nippon
Enterprise
Dev.
0
9,864
9,864
Oak
Investment
Partners
0
5,785
5,785
Oak V
Affiliates
0
130
130
General
Electric
Capital
Corporation
0
69,013
69,013
Leasing
Technologies
International,
Inc.
0
273
273
AT&T
0
16,430
16,430
Axelrod,
Josh*
0
1,017
1,017
Blinn,
Arnold*
14,742
14,742
Buechler,
Kurt*
0
1,915
1,915
Cohen,
Michael*
1,174
1,174
Craig,
Brian*
0
989
989
Hodges,
Avril
0
830
830
7
(1) None of the Selling Shareholders held any office with Microsoft
during the last three years.
(2) All amounts are less than 1% of the issued and outstanding shares
of common stock of Microsoft.
--------------------------------
LEGAL MATTERS
The validity of the Shares offered hereby will be passed upon for
Microsoft by Preston Gates & Ellis, 5000 Columbia Center, 701 Fifth Avenue,
Seattle, Washington 98104. Attorneys who are partners or employed by Preston
Gates & Ellis who have provided advice with respect to the Merger in the
aggregate own less than 50,000 Shares.
EXPERTS
$1,000
(1) To file, during any period in which offers or sales are being made,
a post-effective amendment to this registration statement:
(ii) To reflect in the prospectus any facts or events arising after the
effective date of this Registration Statement (or the most recent
post-effective amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the information set forth
in this Registration Statement. Notwithstanding the foregoing, any
increase or decrease in volume of securities offered (if the total
dollar value of securities offered would not exceed that which was
registered) and any deviation from the low or high end of the estimated
maximum offering range may be reflected in the form of prospectus filed
with the Commission pursuant to Rule 424(b) if, in the aggregate, the
changes in volume and price represent
II-1
10
no more than a 20% change in the maximum aggregate offering price set
forth in the "Calculation of Registration Fee" table in the effective
registration statement;
provided, however, that paragraphs (1)(i) and (1)(ii) do not apply if the
information required to be included in a post-effective amendment by those
paragraphs is contained in periodic reports filed by Microsoft pursuant to
Section 13 or Section 15(d) of the Securities Exchange Act of 1934, as amended
(the "Exchange Act") that are incorporated by reference in this Registration
Statement.
(2) That, for the purpose of determining any liability under the
Securities Act of 1933, each such 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.
II-2
11
SIGNATURES
MICROSOFT CORPORATION
II-3
12
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints William H. Gates III, his
attorney-in-fact, for him in any and all capacities, to sign any amendments to
this Registration Statement, and to file the same, with exhibits thereto, and
other documents in connection therewith, with the Securities and Exchange
Commission, hereby ratifying and confirming all that said attorney-in-fact, or
his substitute, may do or cause to be done by virtue hereof.
Dated
-----
/s/ Michael
W. Brown
Vice
President,
Finance;
Chief
July 12,
1996
- ----------
----------
Financial
Officer
(Principal
Michael
W. Brown
Financial
and
Accounting
Officer)
/s/ William
H. Gates
III
Chairman,
Chief
Executive
Officer,
July 12,
1996
- ----------
------------
--
Director
(Principal
Executive
William H.
Gates III
Officer)
/s/ Paul G.
Allen
Director
July 3,
1996
- ----------
-------
Paul G.
Allen
/s/ Richard
A.
Hackborn
Director
July 5,
1996
- ----------
------------
-
Richard A.
Hackborn
/s/ David
F.
Marquardt
Director
July
12, 1996
- ----------
------------
David F.
Marquardt
/s/ Robert
D. O'Brien
Director
July
12, 1996
- ----------
-----------
Robert D.
O'Brien
/s/ William
G. Reed,
Jr.
Director
July
2, 1996
- ----------
------------
--
William G.
Reed, Jr.
/s/ Jon A.
Shirley
Director
July
12, 1996
- ----------
--------
Jon A.
Shirley
/s/ Jill E.
Barad
Director
July 3,
1996
- ----------
--------
Jill E.
Barad
13
INDEX TO EXHIBITS
Exhibit No.
Description
Page or
Footnote
- -----------
----
-------
--------
--------
3.1
Restated
Articles of
Incorporation
See
footnote (1)
3.2
Bylaws
See
footnote(1)
5
Opinion of
Counsel re:
legality
See
attached.
13
1995 Annual
Report to
Shareholders
See
footnote (1)
23.1
Consent of
Deloitte &
Touche LLP
See
attached.
as
Independent
Accountants
23.2
Consent of
Preston
Gates & Ellis
See
footnote (2)
24
Power of
Attorney
See page II-
3
II-4
- --------
(1) Incorporated by reference to Microsoft's Form 10-K for the fiscal year
ended June 30, 1995.
EX-5
2
OPINION OF COUNSEL RE: LEGALITY
1
Exhibit 5
OPINION OF PRESTON GATES & ELLIS
Microsoft Corporation
One Microsoft Way
Redmond, WA 98052
Gentleman:
The Shares being registered are legally issued, fully paid, and
nonassessable.
We hereby consent to the filing of this opinion as an exhibit to the
Registration Statement.
EX-23.1
3
CONSENT OF INDEPENDENT ACCOUNTANTS
EXHIBIT 23.1
Seattle, Washington