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AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 17, 1996
REGISTRATION NO. 333-
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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REGISTRATION STATEMENT
ON FORM S-3
UNDER
THE SECURITIES ACT OF 1933
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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.)
ONE MICROSOFT WAY
REDMOND, WASHINGTON 98052-6399
(206) 882-8080
(ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER INCLUDING
AREA CODE, OF REGISTRANT'S PRINCIPAL EXECUTIVE OFFICE)
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ROBERT A. ESHELMAN, ESQ.
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)
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COPIES OF ALL COMMUNICATIONS TO:
RICHARD B. DODD, ESQ. ANDREW D. SOUSSLOFF, ESQ.
PRESTON GATES & ELLIS SULLIVAN & CROMWELL
5000 COLUMBIA CENTER 125 BROAD STREET
701 FIFTH AVENUE NEW YORK, NEW YORK 10004-2498
SEATTLE, WASHINGTON 98104-7078
CALCULATION OF REGISTRATION FEE
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PROPOSED
MAXIMUM
TITLE OF EACH CLASS AGGREGATE AMOUNT OF
OF SECURITIES TO BE OFFERING REGISTRATION
REGISTERED PRICE(1) FEE(4)
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% Convertible Exchangeable Principal-Protected Preferred Shares, Series A......... $137,500,000 $41,667
% Convertible Subordinated Notes due 1999(2)...................................... N/A N/A
Common Shares(3).................................................................... N/A N/A
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(1) Estimated solely for the purpose of calculating the registration fee
pursuant to Rule 457(o).
(2) Also being registered is such indeterminate principal amount of %
Convertible Subordinated Notes due 1999 (the "Convertible Notes") as may be
issuable upon or in connection with the exchange of the % Convertible
Exchangeable Principal-Protected Preferred Shares, Series A (the "Series A
Preferred Shares") being registered. No additional consideration will be
received upon the issuance of the Convertible Notes and, therefore, no
registration fee payment is required pursuant to Rule 457(i).
(3) Also being registered are such indeterminate number of Common Shares as may
be issuable upon or in connection with the conversion of the Series A
Preferred Shares or the Convertible Notes being registered. No additional
consideration will be received upon the issuance of the Common Shares and,
therefore, no registration fee payment is required pursuant to Rule 457(i).
(4) $261,364 has been paid previously.
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APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: As soon as
practicable after the effective date of this Registration Statement.
If the only securities being registered on this form are being offered
pursuant to dividend or interest reinvestment plans, please check the following
box: [ ]
If any of the securities being registered on this Form are to be offered on
a delayed or continuous basis pursuant to Rule 415 under the Securities Act of
1933, other than securities offered only in connection with dividend or interest
reinvestment plans, please check the following box: [ ]
If this form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act of 1933, please check the box
and list the Securities Act registration statement number of the earlier
effective registration statement for the same offering: [X] 333-17143.
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THE REGISTRANT HEREBY AMENDS THIS REGISTRATION STATEMENT ON SUCH DATE OR
DATES AS MAY BE NECESSARY TO DELAY ITS EFFECTIVE DATE UNTIL THE REGISTRANT SHALL
FILE A FURTHER AMENDMENT WHICH SPECIFICALLY STATES THAT THIS REGISTRATION
STATEMENT SHALL THEREAFTER BECOME EFFECTIVE IN ACCORDANCE WITH SECTION 8(a) OF
THE SECURITIES ACT OF 1933 OR UNTIL THE REGISTRATION STATEMENT SHALL BECOME
EFFECTIVE ON SUCH DATE AS THE COMMISSION, ACTING PURSUANT TO SAID SECTION 8(a),
MAY DETERMINE.
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INCORPORATION OF CONTENTS OF REGISTRATION STATEMENT BY REFERENCE
This Registration Statement is being filed pursuant to Rule 462(b) and
General Instruction IV of Form S-3. The contents of the Registrant's
Registration Statement on Form S-3 (Commission File No. 333-17143), as amended
as of the date hereof, are incorporated by reference.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant
has duly caused this Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Redmond, State of
Washington on December 17, 1996.
MICROSOFT CORPORATION
/s/ WILLIAM H. GATES
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William H. Gates,
Chairman; Chief Executive Officer
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below on December 17, 1996 by the
following persons in the capacities indicated.
SIGNATURES TITLE
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/s/ MICHAEL W. BROWN Vice President, Finance; Chief
- ---------------------------------------- Financial Officer (Principal
Michael W. Brown Financial and Accounting
Officer)
* Chairman, Chief Executive
- ---------------------------------------- Officer, Director (Principal
William H. Gates Executive Officer)
* Director
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Paul G. Allen
* Director
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Jill E. Barad
* Director
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Richard A. Hackborn
* Director
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David F. Marquardt
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SIGNATURES TITLE
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* Director
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Robert D. O'Brien
* Director
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William G. Reed, Jr.
* Director
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Jon A. Shirley
*By /s/ WILLIAM H. GATES
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William H. Gates
Attorney-in-Fact
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INDEX TO EXHIBITS
EXHIBIT NO. DESCRIPTION PAGE OR FOOTNOTE
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1.1 Underwriting Agreement............................................ (1)
3.1 Restated Articles of Incorporation................................ (1)
3.2 Bylaws............................................................ (2)
4.1 Form of Amendment to the Registrant's Restated Articles of
Incorporation designating the rights and preferences with respect
to the Series A Preferred Shares.................................. (1)
4.2 Form of Indenture with respect to the % Convertible
Subordinated Notes due 1999....................................... (1)
5.1 Opinion of Preston Gates & Ellis..................................
8.1 Opinion of Preston Gates & Ellis..................................
12.1 Computation of Ratio of Earnings to Fixed Charges................. (1)
13.1 Quarterly and Market Information Incorporated by Reference to Page
28 of 1996 Annual Report to Shareholders ("1996 Annual Report")... (3)
13.2 (Intentionally Omitted)...........................................
13.3 Management's Discussion and Analysis of Financial Condition and
Results of Operations Incorporated by Reference to Pages 16-19,
22, and 23 of 1996 Annual Report.................................. (3)
13.4 Financial Statements Incorporated by Reference to Pages 1, 15, 20,
21, 24-29, and 31 of 1996 Annual Report........................... (3)
23.1 Consent of Deloitte & Touche LLP..................................
23.2 Consent of Preston Gates & Ellis.................................. (4)
24.1 Power of Attorney................................................. (1)
25.1 Statement of Eligibility of Trustee............................... (1)
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(1) Incorporated by reference to the Registrant's Registration Statement on Form
S-3 (Commission File No. 333-17143).
(2) Incorporated by reference to Microsoft's Form 10-K for the fiscal year ended
June 30, 1994.
(3) Incorporated by reference to Microsoft's Form 10-K for the fiscal year ended
June 30, 1996.
(4) Contained within Exhibit 5.1.