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<TITLE>OptiMark Holdings, Inc. - S-8 for 9-30-2001
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     <TD WIDTH=100% ALIGN=CENTER><FONT SIZE=1>As filed with the Securities and Exchange Commission on November 14, 2001</FONT></TD>
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     <TD WIDTH=100% ALIGN=RIGHT><FONT SIZE=1>Registration No. 333-&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</FONT></TD>
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     <TD WIDTH=100% ALIGN=CENTER><FONT SIZE=5><B>SECURITIES AND EXCHANGE COMMISSION</B></FONT><BR>
<B>Washington, D.C. 20549</B><BR><HR WIDTH=25% NOSHADE SIZE=1></TD>
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     <TD WIDTH=100% ALIGN=CENTER><FONT SIZE=5><B>FORM S-8</B></FONT><BR><FONT SIZE=4><B>REGISTRATION STATEMENT</B></FONT>
<BR><B>Under<BR>The Securities
Act of 1933</B><BR><HR WIDTH=25% NOSHADE SIZE=1></TD>
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     <TD WIDTH=100% ALIGN=CENTER><FONT SIZE=5><B>OPTIMARK HOLDINGS, INC.</B></FONT><BR>
<FONT SIZE=1><I>(Exact name of registrant as specified in its charter)</I></FONT><BR><HR WIDTH=25% NOSHADE SIZE=1></TD>
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     <TD WIDTH=30% ALIGN=CENTER><U>Delaware</U><BR><FONT SIZE=1><I>(State or other jurisdiction of <BR>
 incorporation or organization)</I></FONT></TD>
     <TD WIDTH=45%> </TD>
     <TD WIDTH=25% ALIGN=CENTER><U>22-3730995</U><BR><FONT SIZE=1><I>(I.R.S. Employer Identification Number)</I></FONT></TD>
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     <TD WIDTH=30% ALIGN=CENTER>10 Exchange Place, 24<SUP>th</SUP> Floor<BR>
<U>Jersey City, New Jersey</U><BR>
<FONT SIZE=1><I>(Address of Principal Executive Offices)</I></FONT></TD>
     <TD WIDTH=45%> </TD>
     <TD WIDTH=25% ALIGN=CENTER><U>07302</U><BR><I><FONT SIZE=1>(Zip Code)</FONT></I></TD>
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     <TD WIDTH=100% ALIGN=CENTER>OptiMark Holdings, Inc.<BR>
2001 Series F Preferred Stock Plan<BR>
<FONT SIZE=1><I>(Full title of the Plan)</I></FONT></TD>
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     <TD WIDTH=100% ALIGN=CENTER>Neil G. Cohen<BR>
Secretary<BR>
OPTIMARK HOLDINGS, INC.<BR>
10 Exchange Place, 24<SUP>th</SUP> Floor<BR>
Jersey City, New Jersey 07302<BR>
<FONT SIZE=1><I>(Name and address of agent for service)</I></FONT><BR><BR>
(201) 536-7000<BR>
<FONT SIZE=1><I>(Telephone number, including area code of agent for service)</I></FONT></TD>
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     <TD WIDTH=100% ALIGN=CENTER>Copy to:<BR>
Evan S. Seideman<BR>
Cummings &amp; Lockwood<BR>
P.O. Box 120<BR>
Four Stamford Plaza<BR>
Stamford, Connecticut 06904-0120</TD>
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     <TD WIDTH=100% ALIGN=CENTER><FONT SIZE=4><B>CALCULATION OF REGISTRATION FEE</B></FONT></TD>
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     <TD WIDTH=295 ALIGN=CENTER><FONT SIZE=2>Title of Securities to be Registered</FONT></TD>
     <TD WIDTH=105 ALIGN=CENTER><FONT SIZE=2>Amount to be<BR>Registered (1)</FONT><BR></TD>
     <TD WIDTH=125 ALIGN=CENTER><FONT SIZE=2>Proposed Maximum<BR>Offering Price<BR>Per Share</FONT></TD>
     <TD WIDTH=125 ALIGN=CENTER><FONT SIZE=2>Proposed Maximum<BR>Aggregate<BR>Offering Price</FONT></TD>
     <TD WIDTH=125 ALIGN=CENTER><FONT SIZE=2>Amount of<BR>Registration Fee</FONT></TD>
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     <TD WIDTH=100%><HR NOSHADE SIZE=1></TD>
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     <TD WIDTH=295><FONT SIZE=2>Series F Preferred Stock, par value $.01, and Options <BR>to Purchase<BR> Series F
Preferred Stock</FONT></TD>
     <TD WIDTH=105 ALIGN=CENTER><FONT SIZE=2>7,400,000</FONT><BR></TD>
     <TD WIDTH=125 ALIGN=CENTER><FONT SIZE=2>$ 0.10<SUP>(2)</SUP></FONT></TD>
     <TD WIDTH=125 ALIGN=CENTER><FONT SIZE=2>$ 740,000<SUP>(2)</SUP></FONT></TD>
     <TD WIDTH=125 ALIGN=CENTER><FONT SIZE=2>$185</FONT></TD>
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<TD WIDTH=4%><P><FONT SIZE=2>(1)</FONT></P></TD>
<TD WIDTH=96%><P ALIGN=JUSTIFY><FONT SIZE=2>This Registration Statement shall also cover any additional shares of
Company&#146;s Series F Preferred Stock that become issuable under the
Company&#146;s Series F Preferred Stock Plan by reason of any stock dividend,
stock split, recapitalization or other similar transaction effected without the
Company&#146;s receipt of consideration that results in an increase in the
number of the Company&#146;s outstanding shares of Series F Preferred Stock.</FONT></P></TD>
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<TD WIDTH=4%><P><FONT SIZE=2>(2)</FONT></P></TD>
<TD WIDTH=96%><P ALIGN=JUSTIFY><FONT SIZE=2>Calculated pursuant to Rule 457(a) of the rules and regulations under the
Securities Act of 1933, as amended (the &#147;Securities Act&#148;) solely for
the purpose of calculating the registration fee, based upon the bona fide
estimate of the price at which the options to purchase Series F Preferred Stock
may be exercised.</FONT></P></TD>
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<BR><BR>
<PAGE>
<BR><BR>

<P ALIGN=CENTER><B>PART I</B></P>

<P ALIGN=CENTER><B>INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS</B></P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;This registration statement relates to the offer and sale by OptiMark
Holdings, Inc., a Delaware corporation (the &#147;<I>Company</I>&#148;), of up to 7,400,000
shares of its Series F Preferred Stock, par value $.01 per share (the &#147;<I>Series F
Preferred Stock</I>&#148;), that may be awarded pursuant to the OptiMark Holdings, Inc.
2001 Series F Preferred Stock Plan (the &#147;<I>Plan</I>&#148;). The documents containing the
information concerning the Plan specified in Item 1 of the Form S-8 registration
statement under the Securities Act of 1933, as amended (the &#147;<I>Securities Act</I>&#148;)
are not being filed as part of this Registration Statement in accordance with
the Note to Part I of the Form S-8 registration statement but will be sent or
given to participants in the Plan in accordance with Rule 428(b) of the
Securities Act. Such documents are not filed with the Securities and Exchange
Commission (the &#147;<I>Commission</I>&#148; or the &#147;<I>SEC</I>&#148;) either as part
of this registration
statement or as prospectuses or prospectus supplements pursuant to Rule 424 in
reliance on Rule 428.</P>
<BR><BR><BR><BR><BR><BR><BR><BR>
<P ALIGN=CENTER>I-1</P>

<PAGE>
<BR><BR>

<P ALIGN=CENTER><B>PART II</B></P>

<P ALIGN=CENTER><B>INFORMATION REQUIRED IN THE REGISTRATION STATEMENT</B></P>

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<TD WIDTH=15%><P><B><U>Item 3.</U></B></P></TD>
<TD WIDTH=85%><P><B><U>Incorporation of Documents by Reference</U></B></P></TD></TR>
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<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The following  documents  filed by the Company with the SEC are hereby  incorporated  into this  Registration
Statement by reference:</P>
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<TD WIDTH=15%><P> </P></TD>
<TD WIDTH=85%><P>1.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company&#146;s Registration Statement on Form
10/A-1 (No. 000-30527);</P></TD>
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<TD WIDTH=15%><BR></TD>
<TD WIDTH=85%><BR></TD>
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<TD WIDTH=15%></TD>
<TD WIDTH=85%><P>2.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company&#146;s Annual Report on Form 10-K, as
amended, for the year ended December 31, 2000;</P></TD>
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<TD WIDTH=15%><BR></TD>
<TD WIDTH=85%><BR></TD>
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<TD WIDTH=15%><P> </P></TD>
<TD WIDTH=85%><P>3.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The  Company&#146;s  Quarterly  Reports on
Form 10-Q for the  quarters  ended  March 31,  2001,  June 30, 2001 and
September 30, 2001; and</P></TD>
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<TD WIDTH=15%><BR></TD>
<TD WIDTH=85%><BR></TD>
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<TD WIDTH=15%></TD>
<TD WIDTH=85%><P>4.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company&#146;s Current Reports on
Form 8-K dated July 12, 2001 and July 13, 2001.</P></TD>
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<BR>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;All documents filed by the Company with the SEC pursuant to Sections 13(a),
13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended (the
&#147;<I>Exchange Act</I>&#148;), after the date of this Registration Statement and prior to the
filing of a post-effective amendment to this registration statement which
indicates that all securities offered hereby have been sold or which deregisters
all securities remaining unsold, shall be deemed to be incorporated by reference
into this Registration Statement and to be a part hereof from the date of filing
of such documents (such documents, and the documents enumerated above, being
hereinafter referred to as the &#147;<I>Incorporated Documents</I>&#148;); provided, however,
that the documents enumerated above or subsequently filed by the Company
pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act in each year
during which the offering made by this registration statement is in effect prior
to the filing with the Commission of the Company&#146;s Annual Report on Form 10-K
covering such year shall not be Incorporated Documents or be incorporated by
reference in this registration statement or be a part hereof from and after the
filing of such Annual Report on Form 10-K.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Any statement contained in an Incorporated Document shall be deemed to be
modified or superseded for purposes of this Registration Statement to the extent
that a statement contained herein or in any other subsequently filed
Incorporated Document modifies or supersedes such statement. Any such statement
so modified or superseded shall not be deemed, except as so modified or
superseded, to constitute a part of this registration statement.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;To the extent that independent public accountants audit and report on
financial statements of the Company issued at future dates, and consent to the
use of their reports thereon, such financial statements shall also be
incorporated by reference in this Registration Statement in reliance upon their
reports and their authority as experts in accounting and auditing.</P>

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<TD WIDTH=15%><P><B><U>Item 4.</U></B></P></TD>
<TD WIDTH=97%><P><B><U>Description of Securities</U></B></P></TD>
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<BR>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pursuant to
the certificate of designations of the Series F Preferred Stock
of the Company filed with the Delaware Secretary of State on June 28, 2001,
there has been authorized 7,400,000 shares of preferred stock of the Company,
designated as &#147;Series F Preferred Stock&#148; having the following rights and
preferences: </P>
<BR>
<P ALIGN=CENTER>II-1</P>
<PAGE>
<BR><BR>

<P>&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<U>Dividend Rights</U>.&nbsp;&nbsp;&nbsp;So long
as any shares of the Company&#146;s Series E Cumulative Preferred Stock $.01 par
value, or any other class or series of capital stock of the Company that has a
priority or preference over the Series F Preferred Stock in the payment of
dividends or in the distribution of assets or any liquidation, dissolution or
winding up of the Company (collectively, &#147;<I>Senior Stock</I>&#148;), remains outstanding,
then no dividend shall be paid or declared and no distribution made on any share
of Series F Preferred Stock unless and until all accrued dividends on all
outstanding shares of Senior Stock have been paid in full. Subject to the
foregoing, dividends payable in cash, stock or otherwise as may be determined by
the Board of Directors may be declared and paid on any shares of Series F
Preferred Stock from time to time out of any funds legally available therefor.</P>

<P>&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<U>Voting Rights</U>.&nbsp;&nbsp;&nbsp;Holders of Series F
Preferred Stock shall be entitled to one vote per share and shall, subject to
any separate voting rights as a class under the Delaware General Corporation
Law, as amended, vote together with the holders of the Common Stock, par value
$0.01 per share (the &#147;<I>Common Stock</I>&#148;) of the Company (and of any other class or
series that may similarly be entitled to vote with the holders of Common Stock)
as a single class on all matters on which holders of Common Stock are entitled
to vote.</P>

<P>&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<U>Liquidation
Rights</U>.&nbsp;&nbsp;&nbsp;Subject to the rights of holders of any shares of
Senior Stock, in the event of any voluntary liquidation, dissolution or winding
up of the affairs of the Company or any merger or consolidation of the Company
or its subsidiaries or sale of substantially all of the Company&#146;s assets,
holders of Series F Preferred Stock shall be entitled, before any distribution
or payment out of the assets of the Company may be made to or set aside for the
holders of any shares of Common Stock, Series A Convertible Participating
Preferred Stock, $.01 par value, Series B Convertible Participating Preferred
Stock, $.01 par value, Series C Convertible Participating Preferred Stock, $.01
par value, Series D Convertible Participating Preferred Stock, $.01 par value or
any other class or series of stock of the Company hereafter authorized over
which the Series F Preferred Stock has preference or priority in the payment of
dividends or in the distribution of assets on any liquidation, dissolution or
winding up of the Company (collectively, &#147;<I>Junior Stock</I>&#148;) (in
the case of a liquidation, dissolution or winding up of the Company) or
concurrently with consummation of the transaction constituting a Deemed
Liquidation Event (as defined in the certificate of designations for the Series
F Preferred Stock), to receive in full an amount equal to the sum of: (i) the
quotient equal to 20% of the cash and fair market value of any distributed
property or other consideration received by the Company for distribution to
holders of its capital stock (the &#147;<I>Distributable Amount</I>&#148;) in
excess of $30,000,000 up to and including $300,000,000, divided by 7,400,000,
and (ii) the quotient equal to 14% of the Distributable Amount in excess of
$300,000,000 divided by 7,400,000.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;After
the Company&#146;s full payment of all amounts payable to the holders of
shares of Senior Stock, if the assets of the Company are not sufficient to pay
the full liquidation amount due to all holders of the Series F Preferred Stock,
the entire amount of assets and funds of the Company legally available for
distribution shall be distributed ratably among the holders of Series F
Preferred Stock and the holders of any other class or series of stock of the
Company that ranks on a parity with the Series F Preferred Stock in the payment
of dividends or in the distribution of assets on any liquidation, dissolution or
winding up of the Company (collectively, &#147;<I>Parity Stock</I>&#148;) in
proportion to the preferential amount each such holder is otherwise entitled to
receive. Only after the full liquidation amount is paid to holders of Series F
Preferred Stock and Parity Stock shall the holders of Junior Stock be entitled
to receive remaining assets of the Company according to their respective rights
and preferences.</P>
<BR>
<P ALIGN=CENTER>II-2</P>

<PAGE>
<BR><BR>

<P>&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<U>Other Rights</U>.&nbsp;&nbsp;&nbsp;The
shares of Series F Preferred Stock have no other voting powers, preferences or
relative, participating, optional or other special rights, or qualifications,
limitations or restrictions thereof, other than as describe herein or in the
Company&#146;s certificate of incorporation.</P>

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<TR VALIGN=TOP>
<TD WIDTH=15%><B><U>Item 5.</U></B></TD>
<TD WIDTH=85%><B><U>Interests of Named Experts and Counsel</U></B></TD>
</TR>
</TABLE>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Not applicable.</P>

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<TR VALIGN=TOP>
<TD WIDTH=15%><B><U>Item 6.</U></B></TD>
<TD WIDTH=85%><U><B>Indemnification of Directors and Officers</B></U></TD>
</TR>
</TABLE>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Section 145
of the Delaware General Corporation (the &#147;<I>DGCL</I>&#148;) grants
corporations the power to indemnify their directors, officers, employees and
agents.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company&#146;s bylaws and certificate of incorporation, as amended, provide
that it will indemnify any person who was or is a party or is threatened to be
made a party to any proceeding, because he was a director or officer, or was
serving at the Company&#146;s request as a director, officer, partner, trustee,
employee or agent of another enterprise. The indemnity covers expenses,
including attorneys&#146; fees, judgments, fines and amounts paid in settlement
reasonably incurred in connection with the proceeding, to the fullest extent
permitted by the DGCL. The indemnity is payable only if the director or officer
acted in good faith and in a manner he reasonably believed to be in or not
opposed to the Company&#146;s best interests, and, with respect to any criminal
action or proceeding, had no reasonable cause to believe his conduct was
unlawful. Any of the Company&#146;s other employees or agents may be indemnified to
the maximum extent permitted by law as authorized by the board of directors. The
Company&#146;s bylaws provide that this indemnification is not exclusive of other
rights to which these persons may be entitled.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The
Company&#146;s certificate of incorporation, as amended, also contains
provisions eliminating a director&#146;s liability for monetary damages for breaches
of fiduciary duty as a director, except for liability:</P>

<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
<TD WIDTH=15%></TD>
<TD WIDTH=5%>&#151;</TD>
<TD WIDTH=80%>for any breach of the director&#146;s duty of loyalty to the Company or its stockholders,</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=15%><BR></TD>
<TD WIDTH=5%><BR></TD>
<TD WIDTH=80%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=15%></TD>
<TD WIDTH=5%>&#151;</TD>
<TD WIDTH=80%>for acts or omissions not in good faith or which  involve  intentional
misconduct or a knowing  violation of law,</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=15%><BR></TD>
<TD WIDTH=5%><BR></TD>
<TD WIDTH=80%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=15%></TD>
<TD WIDTH=5%>&#151;</TD>
<TD WIDTH=80%>in respect of certain unlawful dividend payments or stock redemptions or repurchases, or</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=15%><BR></TD>
<TD WIDTH=5%><BR></TD>
<TD WIDTH=80%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=15%></TD>
<TD WIDTH=5%>&#151;</TD>
<TD WIDTH=80%>for any transaction from which the director derived an improper personal
benefit.</TD>
</TR>
</TABLE>
<BR>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company&#146;s certificate of incorporation, as amended, also provides that
it will have the power to maintain insurance covering the Company&#146;s directors,
officers and employees against any liability or loss whether or not the Company
could indemnify them against the liability or loss under Delaware law. The
Company currently maintain directors&#146; and officers&#146; liability insurance.</P>

<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
<TD WIDTH=15%><B><U>Item 7.</U></B></TD>
<TD WIDTH=85%><B><U>Exemption from Registration Claimed</U></B></TD></TR>
</TABLE>
<BR>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Not applicable.</P>
<BR>
<BR>
<P ALIGN=CENTER>II-3</P>


<PAGE>
<BR><BR>

<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
<TD WIDTH=15%><B><U>Item 8.</U></B></TD>
<TD WIDTH=85%><B><U>Exhibits</U></B></TD></TR>
</TABLE>
<BR>
<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 4(a)</TD>
<TD WIDTH=78%>The Company&#146;s Certificate of Incorporation, as amended (incorporated
by reference to Exhibit 3(i) to the Company&#146;s Quarterly Report on Form 10-Q
for the quarter ended June 30, 2001 (Registration No. 00030527))</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%><BR></TD>
<TD WIDTH=78%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 4(b)</TD>
<TD WIDTH=78%>The Company&#146;s By-Laws (incorporated by reference to Exhibit 3.2 to the
Company&#146;s Registration Statement on Form 10/A-1 (Registration No.
000-30527))</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%><BR></TD>
<TD WIDTH=78%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 5</TD>
<TD WIDTH=78%>Opinion of Cummings &amp; Lockwood</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%><BR></TD>
<TD WIDTH=78%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 23(a)</TD>
<TD WIDTH=78%>Consent of Deloitte &amp; Touche LLP</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%><BR></TD>
<TD WIDTH=78%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 23(b)</TD>
<TD WIDTH=78%>Consent of Cummings &amp; Lockwood (included in Exhibit 5)</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%><BR></TD>
<TD WIDTH=78%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 24</TD>
<TD WIDTH=78%>Power of Attorney</TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%><BR></TD>
<TD WIDTH=78%><BR></TD>
</TR>
<TR VALIGN=TOP>
<TD WIDTH=22%>Exhibit 99(a)</TD>
<TD WIDTH=78%>The OptiMark Holdings, Inc. 2001 Series F Preferred Stock Plan</TD>
</TR>
</TABLE>
<BR>
<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
<TD WIDTH=15%><B><U>Item 9.</U></B></TD>
<TD WIDTH=85%><B><U>Undertakings</U></B></TD></TR>
</TABLE>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company hereby undertakes:</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(1)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;To file,
during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:</P>
<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;To include any
prospectus required by section 10(a)(3) of the Securities Act;</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(ii)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;To reflect in the  prospectus any facts or events arising after the effective date
of the 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 the registration statement;</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(iii)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;To include any material  information  with respect to the plan of distribution not
previously  disclosed in the  registration  statement or any material change to such  information in the  registration
statement;</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<I>Provided,  however</I>,  that the undertakings  set forth in paragraphs  (a)(1)(i) and (a)(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 with or furnished  to the  Commission  by the Company  pursuant to Section 13 or  Section 15(d)  of the
Exchange Act that are incorporated by reference in this Registration Statement.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(2)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;That, for the
purpose of determining any liability under the Securities Act, 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.</P>
<BR>
<P ALIGN=CENTER>II-4</P>


<PAGE>
<BR><BR>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;
&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(3)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;To remove from  registration by means of a  post-effective  amendment any of the securities
being registered which remain unsold at the termination of the offering.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The Company hereby
undertakes that, for purposes of determining any liability under the Securities
Act, each filing of the Company&#146;s annual report pursuant to section 13(a) or
section 15(d) of the Exchange Act (and, where applicable, each filing of an
employee benefit plan&#146;s annual report pursuant to section 15(d) of the Exchange
Act) that is incorporated by reference in the registration statement 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.</P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Insofar as
indemnification for liabilities arising under the Securities Act may be
permitted to directors, officers and controlling persons of the Company pursuant
to the foregoing provisions, or otherwise, the Company has been advised that in
the opinion of the Securities and Exchange Commission such indemnification is
against public policy as expressed in the Securities Act and is, therefore,
unenforceable. In the event that a claim for indemnification against such
liabilities (other than the payment by the Company of expenses incurred or paid
by a director, officer or controlling person of the Company 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
Company 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 Act and will be governed by the final adjudication of such
issue.</P>
<BR><BR>
<P ALIGN=CENTER>II-5</P>

<PAGE>
<BR><BR>


<P ALIGN=CENTER><B>SIGNATURES</B></P>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pursuant to the requirements of the Securities Act, the Company 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
Jersey City, State of New Jersey, on November 13, 2001.</P>

<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
     <TD WIDTH=50%></TD>
     <TD WIDTH=50%>OptiMark Holdings, Inc.</TD>
</TR>
</TABLE>
<BR><BR>
<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
     <TD WIDTH=50%> </TD>
     <TD WIDTH=4%>By:</TD>
     <TD WIDTH=46%>&nbsp;&nbsp;/s/&nbsp;Robert J. Warshaw<BR>Chief Executive Officer and Director</TD>
</TR>
</TABLE>

<P>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in
the capacities and on the dates indicated.</P>

<TABLE WIDTH=650 CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR>
     <TD WIDTH=230 ALIGN=CENTER>Signature</TD>
     <TD WIDTH=10> </TD>
     <TD WIDTH=250 ALIGN=CENTER>Title</TD>
     <TD WIDTH=10> </TD>
     <TD WIDTH=150 ALIGN=CENTER>Date</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><HR NOSHADE SIZE=1></TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=250><HR NOSHADE SIZE=1></TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=150><HR NOSHADE SIZE=1></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><U>/s/  William A. Lupien</U></TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=250 ALIGN=CENTER>Chairman of the Board</TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=150 ALIGN=CENTER>November 13, 2001</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><BR></TD>
     <TD WIDTH=10><BR></TD>
     <TD WIDTH=250><BR></TD>
     <TD WIDTH=10><BR></TD>
     <TD WIDTH=150><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><U>/s/  Robert J. Warshaw</U></TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=250 ALIGN=CENTER>Chief Executive Officer and Director<BR>(Principal
Executive, Financial and<BR>Accounting Officer)</TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=150 ALIGN=CENTER>November 13, 2001</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><BR></TD>
     <TD WIDTH=10><BR></TD>
     <TD WIDTH=250><BR></TD>
     <TD WIDTH=10><BR></TD>
     <TD WIDTH=150><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><U>/s/  Phillip J. Riese</U></TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=250 ALIGN=CENTER>Director</TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=150 ALIGN=CENTER>November 13, 2001</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><BR></TD>
     <TD WIDTH=10><BR></TD>
     <TD WIDTH=250><BR></TD>
     <TD WIDTH=10><BR></TD>
     <TD WIDTH=150><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=230><U>/s/  Ronald D. Fisher</U></TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=250 ALIGN=CENTER>Director</TD>
     <TD WIDTH=10></TD>
     <TD WIDTH=150 ALIGN=CENTER>November 13, 2001</TD>
</TR>
</TABLE>
<BR><BR><BR><BR><BR>
<P ALIGN=CENTER>II-6</P>

<PAGE>
<BR><BR>


<P ALIGN=CENTER><B>EXHIBIT INDEX</B></P>

<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>Exhibit<BR>Number</TD>
     <TD WIDTH=87%> </TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13%><BR></TD>
     <TD WIDTH=87%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>4(a)*</TD>
     <TD WIDTH=87%>The Company&#146;s Certificate of Incorporation, as amended</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13%><BR></TD>
     <TD WIDTH=87%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>4(b)**</TD>
     <TD WIDTH=87%>The Company&#146;s By-Laws</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13%><BR></TD>
     <TD WIDTH=87%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>5</TD>
     <TD WIDTH=87%>Opinion of Cummings &amp; Lockwood</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13%><BR></TD>
     <TD WIDTH=87%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>23(a)</TD>
     <TD WIDTH=87%>Consent of Deloitte &amp; Touche LLP</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13%><BR></TD>
     <TD WIDTH=87%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>23(b)</TD>
     <TD WIDTH=87%>Consent of Cummings &amp; Lockwood (included in the Opinion filed as Exhibit 5)</TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13%><BR></TD>
     <TD WIDTH=87%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=13% ALIGN=CENTER>99(a)</TD>
     <TD WIDTH=87%>The OptiMark Holdings, Inc. 2001 Series F Preferred Stock Plan</TD>
</TR>
</TABLE>
<BR>
<TABLE WIDTH=100% CELLPADDING=0 CELLSPACING=0 BORDER=0>
<TR VALIGN=TOP>
     <TD WIDTH=10%>*</TD>
     <TD WIDTH=90%>Previously filed as an exhibit to the Company&#146;s Quarterly Report on Form
10-Q for the quarter ended June 30, 2001 (Registration No. 000-30527) and
incorporated by reference thereto. </TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=10%><BR></TD>
     <TD WIDTH=90%><BR></TD>
</TR>
<TR VALIGN=TOP>
     <TD WIDTH=10%>**</TD>
     <TD WIDTH=90%>Previously filed as an exhibit to the  Company&#146;s  Registration  Statement on
Form 10/A-1 (Registration  No. 000-30527) and incorporated by reference thereto.</TD>
</TR>
</TABLE>
<BR><BR><BR><BR><BR><BR>
</BODY>
</HTML>
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{"company-data": {"conformed-name": "OPTIMARK HOLDINGS INC", "cik": "0001062023", "assigned-sic": "7389", "irs-number": "223730995", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "S-8", "act": "33", "file-number": "333-73356", "film-number": "1791375"}, "business-address": {"street1": "10 EXCHANGE PLACE CENTRE", "street2": "24TH FLOOR", "city": "JERSEY CITY", "state": "NJ", "zip": "07302", "phone": "201-536-7088"}, "mail-address": {"street1": "10 EXCHANGE PLACA CENTRE", "street2": "24TH FLOOR", "city": "JERSY CITY", "state": "NJ", "zip": "07302"}, "former-company": {"former-conformed-name": "OPTIMARK TECHNOLOGIES INC", "date-changed": "20000329"}}
OptiMark Holdings, Inc. - S-8 for 9-30-2001
As filed with the Securities and Exchange Commission on November 14, 2001
Registration No. 333-
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
Under
The Securities
Act of 1933
OPTIMARK HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction of
incorporation or organization)
22-3730995
(I.R.S. Employer Identification Number)
10 Exchange Place, 24
th
Floor
Jersey City, New Jersey
(Address of Principal Executive Offices)
07302
(Zip Code)
OptiMark Holdings, Inc.
2001 Series F Preferred Stock Plan
(Full title of the Plan)
Neil G. Cohen
Secretary
OPTIMARK HOLDINGS, INC.
10 Exchange Place, 24
th
Floor
Jersey City, New Jersey 07302
(Name and address of agent for service)
(201) 536-7000
(Telephone number, including area code of agent for service)
Copy to:
Evan S. Seideman
Cummings & Lockwood
P.O. Box 120
Four Stamford Plaza
Stamford, Connecticut 06904-0120
CALCULATION OF REGISTRATION FEE
Title of Securities to be Registered
Amount to be
Registered (1)
Proposed Maximum
Offering Price
Per Share
Proposed Maximum
Aggregate
Offering Price
Amount of
Registration Fee
Series F Preferred Stock, par value $.01, and Options
to Purchase
Series F
Preferred Stock
7,400,000
$ 0.10
(2)
$ 740,000
(2)
$185
(1)
This Registration Statement shall also cover any additional shares of
Company's Series F Preferred Stock that become issuable under the
Company's Series F Preferred Stock Plan by reason of any stock dividend,
stock split, recapitalization or other similar transaction effected without the
Company's receipt of consideration that results in an increase in the
number of the Company's outstanding shares of Series F Preferred Stock.
(2)
Calculated pursuant to Rule 457(a) of the rules and regulations under the
Securities Act of 1933, as amended (the "Securities Act") solely for
the purpose of calculating the registration fee, based upon the bona fide
estimate of the price at which the options to purchase Series F Preferred Stock
may be exercised.
PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
This registration statement relates to the offer and sale by OptiMark
Holdings, Inc., a Delaware corporation (the "
Company
"), of up to 7,400,000
shares of its Series F Preferred Stock, par value $.01 per share (the "
Series F
Preferred Stock
"), that may be awarded pursuant to the OptiMark Holdings, Inc.
2001 Series F Preferred Stock Plan (the "
Plan
"). The documents containing the
information concerning the Plan specified in Item 1 of the Form S-8 registration
statement under the Securities Act of 1933, as amended (the "
Securities Act
")
are not being filed as part of this Registration Statement in accordance with
the Note to Part I of the Form S-8 registration statement but will be sent or
given to participants in the Plan in accordance with Rule 428(b) of the
Securities Act. Such documents are not filed with the Securities and Exchange
Commission (the "
Commission
" or the "
SEC
") either as part
of this registration
statement or as prospectuses or prospectus supplements pursuant to Rule 424 in
reliance on Rule 428.
I-1
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3.
Incorporation of Documents by Reference
The following  documents  filed by the Company with the SEC are hereby  incorporated  into this  Registration
Statement by reference:
1.      The Company's Registration Statement on Form
10/A-1 (No. 000-30527);
2.      The Company's Annual Report on Form 10-K, as
amended, for the year ended December 31, 2000;
3.      The  Company's  Quarterly  Reports on
Form 10-Q for the  quarters  ended  March 31,  2001,  June 30, 2001 and
September 30, 2001; and
4.      The Company's Current Reports on
Form 8-K dated July 12, 2001 and July 13, 2001.
All documents filed by the Company with the SEC pursuant to Sections 13(a),
13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended (the
"
Exchange Act
"), after the date of this Registration Statement and prior to the
filing of a post-effective amendment to this registration statement which
indicates that all securities offered hereby have been sold or which deregisters
all securities remaining unsold, shall be deemed to be incorporated by reference
into this Registration Statement and to be a part hereof from the date of filing
of such documents (such documents, and the documents enumerated above, being
hereinafter referred to as the "
Incorporated Documents
"); provided, however,
that the documents enumerated above or subsequently filed by the Company
pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act in each year
during which the offering made by this registration statement is in effect prior
to the filing with the Commission of the Company's Annual Report on Form 10-K
covering such year shall not be Incorporated Documents or be incorporated by
reference in this registration statement or be a part hereof from and after the
filing of such Annual Report on Form 10-K.
Any statement contained in an Incorporated Document shall be deemed to be
modified or superseded for purposes of this Registration Statement to the extent
that a statement contained herein or in any other subsequently filed
Incorporated Document modifies or supersedes such statement. Any such statement
so modified or superseded shall not be deemed, except as so modified or
superseded, to constitute a part of this registration statement.
To the extent that independent public accountants audit and report on
financial statements of the Company issued at future dates, and consent to the
use of their reports thereon, such financial statements shall also be
incorporated by reference in this Registration Statement in reliance upon their
reports and their authority as experts in accounting and auditing.
Item 4.
Description of Securities
Pursuant to
the certificate of designations of the Series F Preferred Stock
of the Company filed with the Delaware Secretary of State on June 28, 2001,
there has been authorized 7,400,000 shares of preferred stock of the Company,
designated as "Series F Preferred Stock" having the following rights and
preferences:
II-1
(a)
Dividend Rights
.   So long
as any shares of the Company's Series E Cumulative Preferred Stock $.01 par
value, or any other class or series of capital stock of the Company that has a
priority or preference over the Series F Preferred Stock in the payment of
dividends or in the distribution of assets or any liquidation, dissolution or
winding up of the Company (collectively, "
Senior Stock
"), remains outstanding,
then no dividend shall be paid or declared and no distribution made on any share
of Series F Preferred Stock unless and until all accrued dividends on all
outstanding shares of Senior Stock have been paid in full. Subject to the
foregoing, dividends payable in cash, stock or otherwise as may be determined by
the Board of Directors may be declared and paid on any shares of Series F
Preferred Stock from time to time out of any funds legally available therefor.
(b)
Voting Rights
.   Holders of Series F
Preferred Stock shall be entitled to one vote per share and shall, subject to
any separate voting rights as a class under the Delaware General Corporation
Law, as amended, vote together with the holders of the Common Stock, par value
$0.01 per share (the "
Common Stock
") of the Company (and of any other class or
series that may similarly be entitled to vote with the holders of Common Stock)
as a single class on all matters on which holders of Common Stock are entitled
to vote.
(c)
Liquidation
Rights
.   Subject to the rights of holders of any shares of
Senior Stock, in the event of any voluntary liquidation, dissolution or winding
up of the affairs of the Company or any merger or consolidation of the Company
or its subsidiaries or sale of substantially all of the Company's assets,
holders of Series F Preferred Stock shall be entitled, before any distribution
or payment out of the assets of the Company may be made to or set aside for the
holders of any shares of Common Stock, Series A Convertible Participating
Preferred Stock, $.01 par value, Series B Convertible Participating Preferred
Stock, $.01 par value, Series C Convertible Participating Preferred Stock, $.01
par value, Series D Convertible Participating Preferred Stock, $.01 par value or
any other class or series of stock of the Company hereafter authorized over
which the Series F Preferred Stock has preference or priority in the payment of
dividends or in the distribution of assets on any liquidation, dissolution or
winding up of the Company (collectively, "
Junior Stock
") (in
the case of a liquidation, dissolution or winding up of the Company) or
concurrently with consummation of the transaction constituting a Deemed
Liquidation Event (as defined in the certificate of designations for the Series
F Preferred Stock), to receive in full an amount equal to the sum of: (i) the
quotient equal to 20% of the cash and fair market value of any distributed
property or other consideration received by the Company for distribution to
holders of its capital stock (the "
Distributable Amount
") in
excess of $30,000,000 up to and including $300,000,000, divided by 7,400,000,
and (ii) the quotient equal to 14% of the Distributable Amount in excess of
$300,000,000 divided by 7,400,000.
After
the Company's full payment of all amounts payable to the holders of
shares of Senior Stock, if the assets of the Company are not sufficient to pay
the full liquidation amount due to all holders of the Series F Preferred Stock,
the entire amount of assets and funds of the Company legally available for
distribution shall be distributed ratably among the holders of Series F
Preferred Stock and the holders of any other class or series of stock of the
Company that ranks on a parity with the Series F Preferred Stock in the payment
of dividends or in the distribution of assets on any liquidation, dissolution or
winding up of the Company (collectively, "
Parity Stock
") in
proportion to the preferential amount each such holder is otherwise entitled to
receive. Only after the full liquidation amount is paid to holders of Series F
Preferred Stock and Parity Stock shall the holders of Junior Stock be entitled
to receive remaining assets of the Company according to their respective rights
and preferences.
II-2
(d)
Other Rights
.   The
shares of Series F Preferred Stock have no other voting powers, preferences or
relative, participating, optional or other special rights, or qualifications,
limitations or restrictions thereof, other than as describe herein or in the
Company's certificate of incorporation.
Item 5.
Interests of Named Experts and Counsel
Not applicable.
Item 6.
Indemnification of Directors and Officers
Section 145
of the Delaware General Corporation (the "
DGCL
") grants
corporations the power to indemnify their directors, officers, employees and
agents.
The Company's bylaws and certificate of incorporation, as amended, provide
that it will indemnify any person who was or is a party or is threatened to be
made a party to any proceeding, because he was a director or officer, or was
serving at the Company's request as a director, officer, partner, trustee,
employee or agent of another enterprise. The indemnity covers expenses,
including attorneys' fees, judgments, fines and amounts paid in settlement
reasonably incurred in connection with the proceeding, to the fullest extent
permitted by the DGCL. The indemnity is payable only if the director or officer
acted in good faith and in a manner he reasonably believed to be in or not
opposed to the Company's best interests, and, with respect to any criminal
action or proceeding, had no reasonable cause to believe his conduct was
unlawful. Any of the Company's other employees or agents may be indemnified to
the maximum extent permitted by law as authorized by the board of directors. The
Company's bylaws provide that this indemnification is not exclusive of other
rights to which these persons may be entitled.
The
Company's certificate of incorporation, as amended, also contains
provisions eliminating a director's liability for monetary damages for breaches
of fiduciary duty as a director, except for liability:
—
for any breach of the director's duty of loyalty to the Company or its stockholders,
—
for acts or omissions not in good faith or which  involve  intentional
misconduct or a knowing  violation of law,
—
in respect of certain unlawful dividend payments or stock redemptions or repurchases, or
—
for any transaction from which the director derived an improper personal
benefit.
The Company's certificate of incorporation, as amended, also provides that
it will have the power to maintain insurance covering the Company's directors,
officers and employees against any liability or loss whether or not the Company
could indemnify them against the liability or loss under Delaware law. The
Company currently maintain directors' and officers' liability insurance.
Item 7.
Exemption from Registration Claimed
Not applicable.
II-3
Item 8.
Exhibits
Exhibit 4(a)
The Company's Certificate of Incorporation, as amended (incorporated
by reference to Exhibit 3(i) to the Company's Quarterly Report on Form 10-Q
for the quarter ended June 30, 2001 (Registration No. 00030527))
Exhibit 4(b)
The Company's By-Laws (incorporated by reference to Exhibit 3.2 to the
Company's Registration Statement on Form 10/A-1 (Registration No.
000-30527))
Exhibit 5
Opinion of Cummings & Lockwood
Exhibit 23(a)
Consent of Deloitte & Touche LLP
Exhibit 23(b)
Consent of Cummings & Lockwood (included in Exhibit 5)
Exhibit 24
Power of Attorney
Exhibit 99(a)
The OptiMark Holdings, Inc. 2001 Series F Preferred Stock Plan
Item 9.
Undertakings
(a)         The Company hereby undertakes:
(1)         To file,
during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:
(i)         To include any
prospectus required by section 10(a)(3) of the Securities Act;
(ii)         To reflect in the  prospectus any facts or events arising after the effective date
of the 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 the registration statement;
(iii)         To include any material  information  with respect to the plan of distribution not
previously  disclosed in the  registration  statement or any material change to such  information in the  registration
statement;
Provided,  however
,  that the undertakings  set forth in paragraphs  (a)(1)(i) and (a)(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 with or furnished  to the  Commission  by the Company  pursuant to Section 13 or  Section 15(d)  of 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, 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-4
(3)         To remove from  registration by means of a  post-effective  amendment any of the securities
being registered which remain unsold at the termination of the offering.
(b)         The Company hereby
undertakes that, for purposes of determining any liability under the Securities
Act, each filing of the Company's annual report pursuant to section 13(a) or
section 15(d) of the Exchange Act (and, where applicable, each filing of an
employee benefit plan's annual report pursuant to section 15(d) of the Exchange
Act) that is incorporated by reference in the registration statement 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.
(c)         Insofar as
indemnification for liabilities arising under the Securities Act may be
permitted to directors, officers and controlling persons of the Company pursuant
to the foregoing provisions, or otherwise, the Company has been advised that in
the opinion of the Securities and Exchange Commission such indemnification is
against public policy as expressed in the Securities Act and is, therefore,
unenforceable. In the event that a claim for indemnification against such
liabilities (other than the payment by the Company of expenses incurred or paid
by a director, officer or controlling person of the Company 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
Company 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 Act and will be governed by the final adjudication of such
issue.
II-5
SIGNATURES
Pursuant to the requirements of the Securities Act, the Company 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
Jersey City, State of New Jersey, on November 13, 2001.
OptiMark Holdings, Inc.
By:
/s/ Robert J. Warshaw
Chief Executive Officer and Director
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in
the capacities and on the dates indicated.
Signature
Title
Date
/s/  William A. Lupien
Chairman of the Board
November 13, 2001
/s/  Robert J. Warshaw
Chief Executive Officer and Director
(Principal
Executive, Financial and
Accounting Officer)
November 13, 2001
/s/  Phillip J. Riese
Director
November 13, 2001
/s/  Ronald D. Fisher
Director
November 13, 2001
II-6
EXHIBIT INDEX
Exhibit
Number
4(a)*
The Company's Certificate of Incorporation, as amended
4(b)**
The Company's By-Laws
5
Opinion of Cummings & Lockwood
23(a)
Consent of Deloitte & Touche LLP
23(b)
Consent of Cummings & Lockwood (included in the Opinion filed as Exhibit 5)
99(a)
The OptiMark Holdings, Inc. 2001 Series F Preferred Stock Plan
*
Previously filed as an exhibit to the Company's Quarterly Report on Form
10-Q for the quarter ended June 30, 2001 (Registration No. 000-30527) and
incorporated by reference thereto.
**
Previously filed as an exhibit to the  Company's  Registration  Statement on
Form 10/A-1 (Registration  No. 000-30527) and incorporated by reference thereto.