Delaware | 52-2336218 | 7373 | ||
(State or other jurisdiction of | (I.R.S. Employer | (Primary Standard Industrial | ||
incorporation or organization) | Identification No.) | Classification Code Number) |
Kirk A. Davenport II, Esq. Latham & Watkins LLP 885 Third Avenue Suite 1000 New York, New York 10022 (212) 906-1200 |
Richard D. Truesdell, Jr., Esq. Davis Polk & Wardwell 450 Lexington Avenue New York, New York 10017 (212) 450-4000 |
Proposed Maximum | Amount of | |||||
Aggregate | Registration | |||||
Title of Each Class of Securities to be Registered | Offering Price(2) | Fee(2) | ||||
Common stock, par value $0.01 per share(1)
|
$172,500,000 | $20,304 | ||||
(1) | Includes shares of common stock issuable upon exercise of the underwriters option to purchase additional shares of common stock. |
(2) | Estimated solely for the purpose of calculating the registration fee in accordance with Rule 457(o) under the Securities Act. Previously paid in connection with the initial filing of this registration statement. |
Item 13. | Other Expenses of Issuance and Distribution. |
SEC registration fee
|
$ | 20,304 | |||
NASD filing fee
|
17,750 | ||||
NASDAQ National Market filing fee
|
125,000 | ||||
Accounting fees and expenses
|
300,000 | ||||
Legal fees and expenses
|
1,000,000 | ||||
Printing and engraving expenses
|
250,000 | ||||
Transfer agent and registrar fees and expenses
|
17,500 | ||||
Miscellaneous
|
100,000 | ||||
Total
|
$ | 1,830,554 | |||
Item 14. | Indemnification of Directors and Officers. |
| for any breach of their duty of loyalty to us or our stockholders; | |
| for acts or omissions not in good faith or which involve intentional misconduct or a knowing violation of law; |
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| for voting or assenting to unlawful payments of dividends or other distributions; or | |
| for any transaction from which the director derived an improper personal benefit. |
Item 15. | Recent Sales of Unregistered Securities. |
1. On April 22, 2002, the registrant sold 2,119,851 shares of series C-1 preferred stock to GRP II, L.P., GRP II Partners, L.P. and GRP II Investors, L.P. for a purchase price of $3.5380 per share for total proceeds of $7,500,000. | |
2. On December 4, 2002, the registrant sold 139,924 shares of series C-2 preferred stock to its management and directors for a purchase price of $3.5380 per share for total proceeds of $500,000. | |
3. On March 19, 2003, in connection with the acquisition of Credit Online, Inc., the registrant issued 4,449,856 and 1,483,285 shares of series A-2 preferred stock and series C-3 preferred stock, respectively, in exchange for all of the outstanding capital stock of Credit Online, Inc. The aggregate purchase price for accounting purposes was $19.7 million (including direct acquisition costs of approximately $0.7 million). | |
4. On May 26, 2005, June 29, 2005 and July 28, 2005, we issued 101,000, 3,500 and 3,500 shares, respectively, of restricted stock to our directors and certain executive officers for no cash consideration. |
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Item 16. | Exhibits and Financial Data Schedules. |
Number | Description | |||
1 | .1* | Form of Underwriting Agreement. | ||
3 | .1 | Fourth Amended and Restated Certificate of Incorporation of DealerTrack Holdings, Inc. as filed on March 19, 2003. | ||
3 | .2 | Form of Fifth Amended and Restated Certificate of Incorporation of DealerTrack Holdings, Inc. | ||
3 | .3 | By-laws of DealerTrack Holdings, Inc. | ||
3 | .4 | Form of Amended and Restated By-laws of DealerTrack Holdings, Inc. | ||
4 | .1 | Fourth Amended and Restated Stockholders Agreement, dated as of March 19, 2003, among DealerTrack Holdings, Inc., its subsidiaries and the stockholders of DealerTrack Holdings, Inc. party thereto. | ||
4 | .2 | Amendment No. 1 to the Fourth Amended and Restated Stockholders Agreement, dated as of May 26, 2005, among DealerTrack Holdings, Inc. and its subsidiaries and the stockholders of DealerTrack Holdings, Inc. party thereto. | ||
4 | .3 | Fourth Amended and Restated Registration Rights Agreement, dated as of March 19, 2003, among DealerTrack Holdings, Inc. and the stockholders of DealerTrack Holdings, Inc. party thereto. | ||
4 | .4 | Form of Certificate of Common Stock. | ||
5 | .1 | Opinion of Latham & Watkins LLP regarding the validity of the common stock. | ||
10 | .1 | Credit Agreement, dated as of April 15, 2005, by and among DealerTrack, Inc., DealerTrack Holdings, Inc., certain subsidiaries of DealerTrack Holdings, Inc., J.P. Morgan Securities Inc. and Lehman Brothers Inc., as joint bookrunners, J.P. Morgan Securities Inc., Lehman Brothers Inc. and Wachovia Securities Inc., as arrangers, JPMorgan Chase Bank, N.A., as administrative agent and letter of credit issuing bank, Lehman Commercial Paper Inc., as syndication agent, and Wachovia Bank, National Association, as documentation agent. | ||
10 | .2 | Guarantee and Security Agreement, dated as of April 15, 2005, by and among DealerTrack, Inc., DealerTrack Holdings, Inc., certain subsidiaries of DealerTrack Holdings, Inc. and JPMorgan Chase Bank, N.A., as administrative agent. | ||
10 | .3 | Transition Services Agreement, dated as of March 19, 2003, by and among DealerTrack Holdings, Inc., Credit Online, Inc., DealerTrack, Inc., First American Credit Management Solutions, Inc. and First American Real Estate Solutions, LLC. | ||
10 | .4 | Joint Marketing Agreement, dated as of March 19, 2003, by and among DealerTrack Holdings, Inc., DealerTrack, Inc., Credit Online, Inc. and First American CREDCO, a division of First American Real Estate Solutions, LLC. | ||
10 | .5 | First Amendment to the Joint Marketing Agreement by and among DealerTrack Holdings, Inc., DealerTrack, Inc., Credit Online, Inc. and First American CREDCO, a division of First American Real Estate Solutions, LLC, dated as of December 1, 2004. | ||
10 | .6 | Agreement between DealerTrack, Inc. and CreditReportPlus, LLC, dated as of December 1, 2004. | ||
10 | .7 | Application Service Provider Contract, dated as of April 15, 2005, between First American Credit Management Solutions, Inc. and DealerTrack, Inc. | ||
10 | .8 | Master Agreement for Consulting Services, dated as of February 1, 2001, between DealerTrack, Inc. and Chase Manhattan Automotive Finance Corporation. | ||
10 | .9 | Non-Competition Agreement, dated as of March 19, 2003, by and among DealerTrack Holdings, Inc., Credit Online, Inc., First American Credit Management Solutions, Inc. and The First American Corporation. |
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Number | Description | |||
10 | .10 | License Agreement, made and entered into as of February 1, 2001, by and between The Chase Manhattan Bank and J.P. Morgan Partners (23A SBIC Manager), Inc. | ||
10 | .11 | Stock Subscription and Exchange Agreement, dated as of February 1, 2001, by and between DealerTrack.com, Inc. and J.P. Morgan Partners (23A SBIC), LLC. | ||
10 | .12 | Asset Purchase Agreement, dated as of July 30, 2004, by and among webalg, inc., Wizard Asset Acquisition LLC, LML Asset Acquisition, LLC, LML Systems, Inc., Lease Marketing, Ltd., Mark Simmons, the trust created under the Mark Simmons Declaration of Trust dated October 22, 2002 and Karen Dillon. | ||
10 | .13 | Stock Purchase Agreement, dated as of December 31, 2003, by and between DealerTrack Holdings, Inc. and Bank of Montreal. | ||
10 | .14 | Asset Purchase Agreement, dated as of May 25, 2005, by and among Santa Acquisition Corporation, Automotive Lease Guide (alg), LLC, Automotive Lease Guide (alg) Canada, Inc., Douglas W. Aiken, John A. Blair and Raj Sundaram. | ||
10 | .15 | Employment Agreement, dated as of May 26, 2005, by and between Mark F. ONeil and DealerTrack Holdings, Inc. | ||
10 | .16 | Employment Agreement, dated as of May 26, 2005, by and between Robert J. Cox III and DealerTrack Holdings, Inc. | ||
10 | .17 | Employment Agreement, dated as of May 26, 2005, by and between Charles J. Giglia and DealerTrack, Inc. | ||
10 | .18 | Employment Agreement, dated as of May 26, 2005, by and between Eric D. Jacobs and DealerTrack Holdings, Inc. | ||
10 | .19 | Employment Agreement, dated as of May 26, 2005, by and between Vincent Passione and DealerTrack, Inc. | ||
10 | .20 | 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of August 10, 2001. | ||
10 | .21 | First Amendment to 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of December 28, 2001. | ||
10 | .22 | Second Amendment to 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of March 19, 2003. | ||
10 | .23 | Third Amendment to 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of January 30, 2004. | ||
10 | .24 | 2005 Incentive Award Plan, effective as of May 26, 2005. | ||
10 | .25 | Senior Executive Incentive Bonus Plan, effective as of May 26, 2005. | ||
10 | .26 | Stock Ownership and Retention Program, adopted May 26, 2005 and effective upon completion of this offering. | ||
10 | .27 | Employee Stock Purchase Plan, adopted May 26, 2005. | ||
10 | .28 | Directors Deferred Compensation Plan, effective as of June 30, 2005. | ||
10 | .29 | Employees Deferred Compensation Plan, effective as of June 30, 2005. | ||
10 | .30 | 401(k) Plan, effective as of January 1, 2001, as amended. | ||
10 | .31 | Lender Agreement, dated as of December 19, 2000, between AmeriCredit Financial Services, Inc. and DealerTrack.com, Inc., as amended as of December 28, 2001, October 24, 2002 and April 1, 2004. | ||
10 | .32 | Lender Agreement, dated as of February 1, 2001, between Chase Manhattan Automotive Finance Corporation and DealerTrack.com, Inc., as amended as of December 28, 2001, May 10, 2002 and October 24, 2002. | ||
10 | .33 | Lender Agreement, dated as of April 13, 2001, between WFS Financial, Inc. and DealerTrack.com, Inc., as amended as of December 28, 2001 and October 24, 2002. | ||
10 | .34 | Lender Agreement, dated as of August 31, 2001, between Wells Fargo & Company and Dealer Track.com, Inc., as amended as of December 28, 2001, October 24, 2002 and May 7, 2003. | ||
10 | .35 | Lender Agreement, dated as of September 26, 2001, between Capital One Auto Finance and DealerTrack.com, Inc., as amended as of December 28, 2001, October 24, 2002, and June 25, 2004. | ||
10 | .36 | Lease Agreement, dated as of August 5, 2004, between i. Park Lake Success, LLC and DealerTrack, Inc. |
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Number | Description | |||
10 | .37 | Lender Integration Support Agreement, dated as of September 1, 2005, between First American CMSI Inc. and DealerTrack, Inc. | ||
21 | .1 | List of Subsidiaries. | ||
23 | .1 | Consent of Latham & Watkins LLP (included in Exhibit 5.1). | ||
23 | .2 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .3 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .4 | Consent of KPMG LLP. | ||
23 | .5 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .6 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .7 | Consent of PricewaterhouseCoopers LLP. | ||
24 | .1, | Powers of Attorney. |
| Incorporated by reference to our Registration Statement on Form S-1 (File No. 333-126944) filed July 28, 2005. |
| Incorporated by reference to Amendment No. 1 to our Registration Statement on Form S-1 (File No. 333-126944) filed September 22, 2005. |
| Incorporated by reference to Amendment No. 2 to our Registration Statement on Form S-1 (File No. 333-126944) filed October 12, 2005. |
| Incorporated by reference to Amendment No. 3 to our Registration Statement on Form S-1 (File No. 333-126944) filed October 24, 2005. |
* | Filed herewith. Supersedes Exhibit 1.1 filed with Amendment No. 2 to our Registration Statement on Form S-1 (File No. 333-126944) filed October 12, 2005. |
Item 17. | Undertakings |
(1) For purposes of determining any liability under the Securities Act of 1933, the information omitted from the form of prospectus filed as part of this registration statement in reliance upon Rule 430A and contained in a form of prospectus filed by the registrant pursuant to Rule 424(b)(1) or (4) or 497(h) under the Securities Act shall be deemed to be part of this registration statement as of the time it was declared effective. | |
(2) For purposes of determining any liability under the Securities Act of 1933, each post-effective amendment that contains a form of prospectus shall be deemed to be a new registration statement relating to the securities offering therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. | |
(3) Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrants have been advised that in the opinion of the SEC such indemnification is against public policy as expressed in the Securities Act of 1933 and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act of 1933 and will be governed by the final adjudication of such issue. |
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DEALERTRACK HOLDINGS, INC. |
By: | /s/ Mark F. ONeil |
|
|
Mark F. ONeil | |
Chairman of the Board, President and | |
Chief Executive Officer |
Signature | Title | Date | ||||
/s/ Mark F. ONeil |
Chairman of the Board, President and Chief Executive Officer (principal executive officer) | December 8, 2005 | ||||
/s/ Robert J. Cox III |
Senior Vice President, Chief Financial Officer and Treasurer (principal financial and accounting officer) |
December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* |
Director | December 8, 2005 | ||||
* /s/ Mark F. ONeil Attorney in Fact |
December 8, 2005 |
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Number | Description | |||
1 | .1* | Form of Underwriting Agreement. | ||
3 | .1 | Fourth Amended and Restated Certificate of Incorporation of DealerTrack Holdings, Inc. as filed on March 19, 2003. | ||
3 | .2 | Form of Fifth Amended and Restated Certificate of Incorporation of DealerTrack Holdings, Inc. | ||
3 | .3 | By-laws of DealerTrack Holdings, Inc. | ||
3 | .4 | Form of Amended and Restated By-laws of DealerTrack Holdings, Inc. | ||
4 | .1 | Fourth Amended and Restated Stockholders Agreement, dated as of March 19, 2003, among DealerTrack Holdings, Inc., its subsidiaries and the stockholders of DealerTrack Holdings, Inc. party thereto. | ||
4 | .2 | Amendment No. 1 to the Fourth Amended and Restated Stockholders Agreement, dated as of May 26, 2005, among DealerTrack Holdings, Inc., and its subsidiaries and the stockholders of DealerTrack Holdings, Inc. party thereto. | ||
4 | .3 | Fourth Amended and Restated Registration Rights Agreement, dated as of March 19, 2003, among DealerTrack Holdings, Inc., and the stockholders of DealerTrack Holdings, Inc. party thereto. | ||
4 | .4 | Form of Certificate of Common Stock. | ||
5 | .1 | Opinion of Latham & Watkins LLP regarding the validity of the common stock. | ||
10 | .1 | Credit Agreement, dated as of April 15, 2005, by and among DealerTrack, Inc., DealerTrack Holdings, Inc., certain subsidiaries of DealerTrack Holdings, Inc., J.P. Morgan Securities Inc. and Lehman Brothers Inc., as joint bookrunners, J.P. Morgan Securities Inc., Lehman Brothers Inc. and Wachovia Securities Inc., as arrangers, JPMorgan Chase Bank, N.A., as administrative agent and letter of credit issuing bank, Lehman Commercial Paper Inc., as syndication agent, and Wachovia Bank, National Association, as documentation agent. | ||
10 | .2 | Guarantee and Security Agreement, dated as of April 15, 2005, by and among DealerTrack, Inc., DealerTrack Holdings, Inc., certain subsidiaries of DealerTrack Holdings, Inc. and JPMorgan Chase Bank, N.A., as administrative agent. | ||
10 | .3 | Transition Services Agreement, dated as of March 19, 2003, by and among DealerTrack Holdings, Inc., Credit Online, Inc., DealerTrack, Inc., First American Credit Management Solutions, Inc. and First American Real Estate Solutions, LLC. | ||
10 | .4 | Joint Marketing Agreement, dated as of March 19, 2003, by and among DealerTrack Holdings, Inc., DealerTrack, Inc., Credit Online, Inc. and First American CREDCO, a division of First American Real Estate Solutions, LLC. | ||
10 | .5 | First Amendment to the Joint Marketing Agreement by and among DealerTrack Holdings, Inc., DealerTrack, Inc., Credit Online, Inc. and First American CREDCO, a division of First American Real Estate Solutions, LLC, dated as of December 1, 2004. | ||
10 | .6 | Agreement between DealerTrack, Inc. and CreditReportPlus, LLC, dated as of December 1, 2004. | ||
10 | .7 | Application Service Provider Contract, dated as of April 15, 2005, between First American Credit Management Solutions, Inc. and DealerTrack, Inc. | ||
10 | .8 | Master Agreement for Consulting Services, dated as of February 1, 2001, between DealerTrack, Inc. and Chase Manhattan Automotive Finance Corporation. | ||
10 | .9 | Non-Competition Agreement, dated as of March 19, 2003, by and among DealerTrack Holdings, Inc., Credit Online, Inc., First American Credit Management Solutions, Inc. and The First American Corporation. | ||
10 | .10 | License Agreement, made and entered into as of February 1, 2001, by and between The Chase Manhattan Bank and J.P. Morgan Partners (23A SBIC Manager), Inc. | ||
10 | .11 | Stock Subscription and Exchange Agreement, dated as of February 1, 2001, by and between DealerTrack.com, Inc. and J.P. Morgan Partners (23A SBIC), LLC. |
Number | Description | |||
10 | .12 | Asset Purchase Agreement, dated as of July 30, 2004, by and among webalg, inc., Wizard Asset Acquisition LLC, LML Asset Acquisition, LLC, LML Systems, Inc., Lease Marketing, Ltd., Mark Simmons, the trust created under the Mark Simmons Declaration of Trust dated October 22, 2002 and Karen Dillon. | ||
10 | .13 | Stock Purchase Agreement, dated as of December 31, 2003, by and between DealerTrack Holdings, Inc. and Bank of Montreal. | ||
10 | .14 | Asset Purchase Agreement, dated as of May 25, 2005, by and among Santa Acquisition Corporation, Automotive Lease Guide (alg), LLC, Automotive Lease Guide (alg) Canada, Inc., Douglas W. Aiken, John A. Blair and Raj Sundaram. | ||
10 | .15 | Employment Agreement, dated as of May 26, 2005, by and between Mark F. ONeil and DealerTrack Holdings, Inc.. | ||
10 | .16 | Employment Agreement, dated as of May 26, 2005, by and between Robert J. Cox III and DealerTrack Holdings, Inc. | ||
10 | .17 | Employment Agreement, dated as of May 26, 2005, by and between Charles J. Giglia and DealerTrack, Inc. | ||
10 | .18 | Employment Agreement, dated as of May 26, 2005, by and between Eric D. Jacobs and DealerTrack Holdings, Inc. | ||
10 | .19 | Employment Agreement, dated as of May 26, 2005, by and between Vincent Passione and DealerTrack, Inc. | ||
10 | .20 | 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of August 10, 2001. | ||
10 | .21 | First Amendment to 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of December 28, 2001. | ||
10 | .22 | Second Amendment to 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of March 19, 2003. | ||
10 | .23 | Third Amendment to 2001 Stock Option Plan of DealerTrack Holdings, Inc., effective as of January 30, 2004. | ||
10 | .24 | 2005 Incentive Award Plan, effective as of May 26, 2005. | ||
10 | .25 | Senior Executive Incentive Bonus Plan, effective as of May 26, 2005. | ||
10 | .26 | Stock Ownership and Retention Program, adopted May 26, 2005 and effective upon completion of this offering. | ||
10 | .27 | Employee Stock Purchase Plan, adopted May 26, 2005. | ||
10 | .28 | Directors Deferred Compensation Plan, effective as of June 30, 2005. | ||
10 | .29 | Employees Deferred Compensation Plan, effective as of June 30, 2005. | ||
10 | .30 | 401(k) Plan, effective as of January 1, 2001, as amended. | ||
10 | .31 | Lender Agreement, dated as of December 19, 2000, between AmeriCredit Financial Services, Inc. and DealerTrack.com, Inc., as amended as of December 28, 2001, October 24, 2002 and April 1, 2004. | ||
10 | .32 | Lender Agreement, dated as of February 1, 2001, between Chase Manhattan Automotive Finance Corporation and DealerTrack.com, Inc., as amended as of December 28, 2001, May 10, 2002 and October 24, 2002. | ||
10 | .33 | Lender Agreement, dated as of April 13, 2001, between WFS Financial, Inc. and DealerTrack.com, Inc., as amended as of December 28, 2001 and October 24, 2002. | ||
10 | .34 | Lender Agreement, dated as of August 31, 2001, between Wells Fargo & Company and DealerTrack.com, Inc., as amended as of December 28, 2001, October 24, 2002 and May 7, 2003. | ||
10 | .35 | Lender Agreement, dated as of September 26, 2001, between Capital One Auto Finance and DealerTrack.com, Inc., as amended as of December 28, 2001, October 24, 2002, and June 25, 2004. | ||
10 | .36 | Lease Agreement, dated as of August 5, 2004, between i. Park Lake Success, LLC and DealerTrack, Inc. |
Number | Description | |||
10 | .37 | Lender Integration Support Agreement, dated as of September 1, 2005, between First American CMSI Inc. and DealerTrack, Inc. | ||
21 | .1 | List of Subsidiaries. | ||
23 | .1 | Consent of Latham & Watkins LLP (included in Exhibit 5.1). | ||
23 | .2 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .3 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .4 | Consent of KPMG LLP. | ||
23 | .5 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .6 | Consent of PricewaterhouseCoopers LLP. | ||
23 | .7 | Consent of PricewaterhouseCoopers LLP. | ||
24 | .1, | Powers of Attorney. |
| Incorporated by reference to our Registration Statement on Form S-1 (File No. 333-126944) filed July 28, 2005. |
| Incorporated by reference to Amendment No. 1 to our Registration Statement on Form S-1 (File No. 333-126944) filed September 22, 2005. |
| Incorporated by reference to Amendment No. 2 to our Registration Statement on Form S-1 (File No. 333-126944) filed October 12, 2005. |
| Incorporated by reference to Amendment No. 3 to our Registration Statement on Form S-1 (File No. 333-126944) filed October 24, 2005. |
* | Filed herewith. Filed herewith. Supersedes Exhibit 1.1 filed with Amendment No. 2 to our Registration Statement on Form S-1 (File No. 333-126944) filed October 12, 2005. |