SS&C Technologies Holdings Inc — Regulatory Filings 2010

Mar 26, 2010

S-1/A 1 b78402a5sv1za.htm AMENDMENT 5 sv1za PAGEBREAK

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As filed with the Securities and Exchange Commission on March 25, 2010

Registration No. 333-164043

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

Amendment No. 5 to

Form S-1

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

SS&C Technologies Holdings, Inc.

(Exact Name of Registrant as Specified in Its Charter)

Delaware	71-0987913
(State or other jurisdiction
of incorporation or organization)	(I.R.S. Employer Identification Number)

7372

(Primary Standard Industrial Classification Code Number)

80 Lamberton Road

Windsor, Connecticut 06095

(860) 298-4500

(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)

William C. Stone

Chairman of the Board and Chief Executive Officer

SS&C Technologies Holdings, Inc.

80 Lamberton Road

Windsor, Connecticut 06095

(860) 298-4500

(Name, address, including zip code, and telephone number, including area code, of agent for service)

Copies to:

John A. Burgess, Esq.	Stuart M. Cable, Esq.
Justin L. Ochs, Esq. Wilmer Cutler Pickering Hale and Dorr LLP 60 State Street Boston, Massachusetts 02109 (617) 526-6000	Mark T. Bettencourt, Esq. Michael J. Minahan, Esq. Goodwin Procter LLP Exchange Place Boston, Massachusetts 02109 (617) 570-1000

Approximate date of commencement of proposed sale to the public: As soon as practicable after this registration statement becomes effective.

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, check the following box. o

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer	o	Accelerated filer	o
Non-accelerated filer	þ (Do not check if a smaller reporting company)	Smaller reporting company	o

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 or until the Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), shall determine.

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EXPLANATORY NOTE

This Amendment No. 5 to the Registration Statement on Form S-1 (File No. 333-164043) of SS&C Technologies Holdings, Inc. is being filed for the purpose of amending Item 16. Exhibits and financial statement schedules and the Exhibit index to the Registration Statement in order to file Exhibit 4.15 to the Registration Statement with the Securities and Exchange Commission. No changes or additions are being made hereby to the preliminary prospectus which forms a part of the Registration Statement.

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Part II Information not required in prospectus

ITEM 13. Other expenses of issuance and distribution.

The following table indicates the expenses to be incurred in connection with the offering described in this registration statement, other than underwriting discounts and commissions, all of which will be paid by us. All amounts are estimated except the Securities and Exchange Commission registration fee, the Financial Industry Regulatory Authority, Inc. filing fee and the NASDAQ Global Market listing fee.

Securities and Exchange Commission registration fee	$
Financial Industry Regulatory Authority, Inc. filing fee	19,001
NASDAQ Global Market listing fee	125,000
Printing and engraving expenses	450,000
Legal fees and expenses	800,000
Accountants’ fees and expenses	800,000
Director and officer liability insurance	100,000
Blue Sky fees and expenses	10,000
Transfer Agent’s fees and expenses	10,000
Miscellaneous	62,308
Total	$ 2,389,500

ITEM 14. Indemnification of directors and officers.

Section 102 of the Delaware General Corporation Law permits a corporation to eliminate the personal liability of its directors or its stockholders for monetary damages for a breach of fiduciary duty as a director, except where the director breached his or her duty of loyalty, failed to act in good faith, engaged in intentional misconduct or knowingly violated a law, authorized the payment of a dividend or approved a stock repurchase in violation of Delaware corporate law or obtained an improper personal benefit. Our certificate of incorporation provides that no director shall be personally liable to us or our stockholders for monetary damages for any breach of fiduciary duty as director, notwithstanding any provision of law imposing such liability, except to the extent that the Delaware General Corporation Law prohibits the elimination or limitation of liability of directors for breaches of fiduciary duty.

Section 145 of the Delaware General Corporation Law provides that a corporation has the power to indemnify a director, officer, employee or agent of the corporation and certain other persons serving at the request of the corporation in related capacities against expenses (including attorneys’ fees), judgments, fines and amounts paid in settlements actually and reasonably incurred by the person in connection with an action, suit or proceeding to which he or she is or is threatened to be made a party by reason of such position, if such person acted in good faith and in a manner he or she reasonably believed to be in or not opposed to the best interests of the corporation, and, in any criminal action or proceeding, had no reasonable cause

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to believe his or her conduct was unlawful, except that, in the case of actions brought by or in the right of the corporation, no indemnification shall be made with respect to any claim, issue or matter as to which such person shall have been adjudged to be liable to the corporation unless and only to the extent that the Court of Chancery or other adjudicating court determines that, despite the adjudication of liability but in view of all of the circumstances of the case, such person is fairly and reasonably entitled to indemnity for such expenses which the Court of Chancery or such other court shall deem proper.

Our certificate of incorporation provides that we will indemnify each person who was or is a party or threatened to be made a party to any threatened, pending or completed action, suit or proceeding, other than an action by or in the right of us, by reason of the fact that he or she is or was, or has agreed to become, a director or officer, or is or was serving, or has agreed to serve, at our request as a director, officer, partner, employee or trustee of, or in a similar capacity with, another corporation, partnership, joint venture, trust or other enterprise, all such persons being referred to as an indemnitee, or by reason of any action alleged to have been taken or omitted in such capacity, against all expenses, including attorneys’ fees, judgments, fines and amounts paid in settlement actually and reasonably incurred in connection with such action, suit or proceeding and any appeal therefrom, if such indemnitee acted in good faith and in a manner he or she reasonably believed to be in, or not opposed to, our best interests, and, with respect to any criminal action or proceeding, he or she had no reasonable cause to believe his or her conduct was unlawful.

Our certificate of incorporation provides that we will indemnify any indemnitee who was or is a party to or threatened to be made a party to any threatened, pending or completed action or suit by or in the right of us to procure a judgment in our favor by reason of the fact that the indemnitee is or was, or has agreed to become, our director or officer, or is or was serving, or has agreed to serve, at our request as a director, officer, partner, employee or trustee of, or in a similar capacity with, another corporation, partnership, joint venture, trust or other enterprise, or by reason of any action alleged to have been taken or omitted in such capacity, against all expenses, including attorneys’ fees, and, to the extent permitted by law, amounts paid in settlement actually and reasonably incurred by or on behalf of the indemnitee in connection with such action, suit or proceeding, and any appeal therefrom, if the indemnitee acted in good faith and in a manner he or she reasonably believed to be in, or not opposed to, our best interests, except that no indemnification shall be made with respect to any claim, issue or matter as to which such person shall have been adjudged to be liable to us, unless a court determines that, despite such adjudication but in view of all of the circumstances, he or she is entitled to indemnification of such expenses. Notwithstanding the foregoing, to the extent that any indemnitee has been successful, on the merits or otherwise, we will indemnify him or her against all expenses, including attorneys’ fees, actually and reasonably incurred in connection therewith. Expenses must be advanced to an indemnitee under certain circumstances.

We intend to enter into indemnification agreements with each of our directors in addition to the indemnification provided for in our certificate of incorporation. These indemnification agreements would require us, among other things, to indemnify our directors for certain expenses, including attorneys’ fees, judgments, fines and settlement amounts incurred by a director in any action or proceeding arising out of his service as one of our directors, or any of our subsidiaries or any other company or enterprise to which the person provides services at our request.

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We maintain a general liability insurance policy that covers certain liabilities of directors and officers of our corporation arising out of claims based on acts or omissions in their capacities as directors or officers.

In any underwriting agreement we enter into in connection with the sale of common stock being registered hereby, the underwriters will agree to indemnify, under certain conditions, us, our directors, our officers and persons who control us with the meaning of the Securities Act, as amended, against certain liabilities.

ITEM 15. Recent sales of unregistered securities.

Since the inception of SS&C Holdings we have issued the following securities that were not registered under the Securities Act (after giving effect to our 8.5-for-1 stock split of our common stock effective as of March 10, 2010):

(a) Issuances of capital stock.

(1) On November 23, 2005, in connection with the Transaction, we issued (A) 41,782,345 shares of our common stock to Carlyle Partners IV, L.P. (an investment fund affiliated with Carlyle) and 1,687,454 shares of our common stock to CP IV Coinvestment, L.P. (an investment fund affiliated with Carlyle) for consideration of $381,000,000 and (B) 16,668,313 shares of our common stock to William C. Stone, our Chairman of the Board and Chief Executive Officer, in exchange for 3,921,958 shares of common stock of SS&C held by Mr. Stone.

(2) Between August 2006 and November 2006, we sold an aggregate of 75,650 shares of restricted common stock at a price per share of $8.77 to certain of our employees pursuant to our 2006 equity incentive plan.

No underwriters were involved in the foregoing issuances of securities. The securities described in paragraph (a)(1) of Item 15 were issued to accredited investors in reliance upon the exemption from the registration requirements of the Securities Act, as set forth in Section 4(2) under the Securities Act, relative to transactions by an issuer not involving any public offering, to the extent an exemption from such registration was required. The securities described in paragraph (a)(2) of Item 15 were issued pursuant to written compensatory plans or arrangements with our employees, in reliance on the exemption provided by Rule 701 promulgated under the Securities Act.

(b) Stock option grants.

(1) Since August 9, 2006, we granted stock options to purchase an aggregate of 11,130,196 shares of our common stock with exercise prices ranging from $8.77 to $14.53 per share, to employees, directors and consultants pursuant to our 2006 equity incentive plan.

(2) In March 2010, we granted stock options to purchase an aggregate of 1,615,085 shares of our common stock with an exercise price of $14.53 per share to certain of our non-executive officer employees pursuant to our 2008 stock incentive plan.

(3) In connection with the Transaction, we assumed stock options granted to SS&C’s employees, directors and consultants pursuant to SS&C’s 1998 stock incentive plan and 1999 non-officer employee stock incentive plan that were automatically converted at the time of the Transaction into options to purchase an aggregate of 4,117,939 shares of our common stock with exercise prices ranging from $0.62 to $7.50 per share.

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(4) An aggregate of 1,451,102 shares of our common stock, including 637,500 shares of our Class A non-voting common stock, have been issued upon the exercise of stock options for an aggregate consideration of $5,423,380 as of February 22, 2010.

The issuances of stock options and the shares of common stock issuable upon the exercise of the options described in this paragraph (b) of Item 15 were issued pursuant to written compensatory plans or arrangements with our employees, directors and consultants, in reliance on the exemption provided by Rule 701 promulgated under the Securities Act, or pursuant to Section 4(2) under the Securities Act, relative to transactions to transactions by an issuer not involving any public offering, to the extent an exemption from such registration was required.

All of the foregoing securities are deemed restricted securities for purposes of the Securities Act. All certificates representing the issued shares of capital stock described in this Item 15 included appropriate legends setting forth that the securities had not been registered and the applicable restrictions on transfer.

ITEM 16. Exhibits and financial statement schedules.

(a) Exhibits

Number		Description
1	.1**	Form of Underwriting Agreement
2	.1†	Agreement and Plan of Merger, dated as of July 28, 2005, by
and among the Registrant, Sunshine Merger Corporation and
SS&C Technologies, Inc. is incorporated herein by reference
to Exhibit 2.1 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on July 28, 2005 (File No. 000-28430)
2	.2†	Amendment No. 1 to Agreement and Plan of Merger, dated as
of August 25, 2005, by among the Registrant, Sunshine
Merger Corporation and SS&C Technologies, Inc. is
incorporated herein by reference to Exhibit 2.1 to
SS&C Technologies, Inc.’s Current Report on Form 8-K, filed on August 30, 2005 (File No. 000-28430)
2	.3†	Asset Purchase Agreement, dated September 30, 2008, by and
among SS&C Technologies New Jersey, Inc., Micro Design
Services, LLC and, for the limited purposes stated therein,
Roman J. Szymansky and Xavier F. Gonzales is incorporated
herein by reference to Exhibit 2.1 to SS&C
Technologies, Inc.’s Current Report on Form 8-K, filed on October 2, 2008 (File No. 333-135139)
3	.1**	Certificate of Incorporation of the Registrant, as amended
3	.2	Bylaws of the Registrant, as amended, are incorporated herein by
reference to Exhibit 3.2 to the Registrant’s
Registration Statement on Form S-1, as amended (File No. 333-143719) (the “Form S-1”)
3	.3**	Form of Restated Certificate of Incorporation of the Registrant
(to be effective upon the closing of this offering)
3	.4**	Form of Amended and Restated Bylaws of the Registrant (to be
effective upon the closing of this offering)

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Number		Description
4	.1	Indenture, dated as of November 23, 2005, among Sunshine
Acquisition II, Inc., SS&C Technologies, Inc., the
Guarantors named on the signature pages thereto, and Wells Fargo
Bank, National Association, as Trustee, relating to the
11 3 / 4 % Senior
Subordinated Notes due 2013, including the form of
11 3 / 4 % Senior
Subordinated Note due 2013, is incorporated herein by reference
to Exhibit 4.1 to SS&C Technologies, Inc’s
Registration Statement on Form S-4, as amended (File No. 333-135139) (the “Form S-4”)
4	.2	First Supplemental Indenture, dated as of April 27, 2006,
among Cogent Management Inc., SS&C Technologies, Inc.
and Wells Fargo Bank, National Association, as Trustee, relating
to the
11 3 / 4 % Senior
Subordinated Notes due 2013, is incorporated herein by reference
to Exhibit 4.2 to the Form S-4
4	.3	Second Supplemental Indenture, dated as of September 1,
2009, among SS&C Technologies Connecticut, LLC, SS&C
Technologies, Inc. and Wells Fargo Bank, National Association,
as Trustee, relating to the
11 3 / 4 % Senior
Subordinated Notes due 2013, is incorporated herein by reference
to Exhibit 10.3 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on September 4, 2009 (File No. 000-28430) (the “September 4, 2009 8-K”)
4	.4	Third Supplemental Indenture, dated as of December 22,
2009, among TheNextRound, Inc., SS&C Technologies,
Inc. and Wells Fargo Bank, National Association, as Trustee,
relating to the
11 3 / 4 % Senior
Subordinated Notes due 2013, is incorporated herein by reference
to Exhibit 10.2 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on December 23, 2009 (File No. 000-28430) (the “December 23, 2009 8-K”)
4	.5	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by Financial Models Company Ltd.,
Financial Models Holdings Inc., SS&C
Fund Administration Services LLC, OMR Systems Corporation
and Open Information Systems, Inc. is incorporated herein by
reference to Exhibit 4.3 to the Form S-4
4	.6	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by Cogent Management Inc. is
incorporated herein by reference to Exhibit 4.4 to the Form S-4
4	.7	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by SS&C Technologies
Connecticut, LLC is incorporated herein by reference to
Exhibit 10.4 to the September 4, 2009 8-K
4	.8	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by TheNextRound, Inc. is
incorporated herein by reference to Exhibit 10.3 to the
December 23, 2009 8-K
4	.9	Registration Rights Agreement, dated as of November 23,
2005, among Sunshine Acquisition II, Inc., SS&C
Technologies, Inc. and the Guarantors named therein, as Issuers,
and Wachovia Capital Markets, LLC, J.P. Morgan Securities
Inc. and Banc of America Securities LLC, as Initial Purchasers,
is incorporated herein by reference to Exhibit 4.5 to the Form S-4
4	.10	Purchase Agreement, dated as of November 17, 2005, between
Sunshine Acquisition II, Inc. and the Initial Purchasers named
in Schedule I thereto is incorporated herein by reference
to Exhibit 4.6 to the Form S-4
4	.11	Joinder Agreement, dated as of November 23, 2005, executed
by SS&C Technologies, Inc., Financial Models Company Ltd.,
Financial Models Holdings Inc., SS&C
Fund Administration Services LLC, OMR Systems Corporation
and Open Information Systems, Inc. is incorporated herein by
reference to Exhibit 4.7 to the Form S-4

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Number		Description
4	.12	Joinder Agreement, dated as of April 27, 2006, executed by
Cogent Management Inc. is incorporated herein by reference to
Exhibit 4.8 to the Form S-4
4	.13	Joinder Agreement, dated as of September 1, 2009, executed by
SS&C Technologies Connecticut, LLC is incorporated herein
by reference to Exhibit 10.5 to the September 4, 2009 8-K
4	.14	Joinder Agreement, dated as of December 22, 2009, executed
by TheNextRound, Inc. is incorporated herein by reference to
Exhibit 10.4 to the December 23, 2009 8-K
4	.15	Specimen certificate evidencing shares of common stock
5	.1**	Opinion of Wilmer Cutler Pickering Hale and Dorr LLP
10	.1	Credit Agreement, dated as of November 23, 2005, among
Sunshine Acquisition II, Inc., SS&C Technologies, Inc.,
SS&C Technologies Canada Corp., the several lenders from
time to time parties thereto, JPMorgan Chase Bank, N.A., as
Administrative Agent, JPMorgan Chase Bank, N.A., Toronto Branch,
as Canadian Administrative Agent, Wachovia Bank, National
Association, as Syndication Agent, and Bank of America, N.A., as
Documentation Agent, is incorporated herein by reference to
Exhibit 10.1 to the Form S-4
10	.2	First Amendment, dated as of March 6, 2007, to the Credit
Agreement, dated as of November 23, 2005, among SS&C
Technologies, Inc., SS&C Technologies Canada Corp., as CDN
Borrower, the several banks and other financial institutions or
entities from time to time parties to the Credit Agreement as
lenders, Wachovia Bank, National Association, as Syndication
Agent, JPMorgan Chase Bank, N.A., as Administrative Agent and
JPMorgan Chase Bank, N.A., Toronto Branch, as Canadian
Administrative Agent, is incorporated herein by reference to
Exhibit 10.1 to SS&C Technologies, Inc.’s Current
Report on Form 8-K, filed on March 9, 2007 (File No. 333-135139)
10	.3	Guarantee and Collateral Agreement, dated as of
November 23, 2005, made by the Registrant, Sunshine
Acquisition II, Inc., SS&C Technologies, Inc. and certain
of its subsidiaries in favor of JPMorgan Chase Bank, N.A., as
Administrative Agent, is incorporated herein by reference to
Exhibit 10.2 to the Form S-4
10	.4	CDN Guarantee and Collateral Agreement, dated as of
November 23, 2005, made by SS&C Technologies Canada
Corp. and 3105198 Nova Scotia Company in favor of JPMorgan Chase
Bank, N.A., Toronto Branch, as Canadian Administrative Agent, is
incorporated herein by reference to Exhibit 10.3 to the Form S-4
10	.5	Assumption Agreement, dated as of April 27, 2006, made by
Cogent Management Inc., in favor of JPMorgan Chase Bank, N.A.,
as Administrative Agent, is incorporated herein by reference to
Exhibit 10.4 to the Form S-4
10	.6	Assumption Agreement, dated as of August 31, 2009, made by
SS&C Technologies Connecticut, LLC, in favor of JPMorgan
Chase Bank, N.A., as Administrative Agent, is incorporated
herein by reference to Exhibit 10.1 to the
September 4, 2009 8-K
10	.7	Assumption Agreement, dated as of December 22, 2009, made
by TheNextRound, Inc., in favor of JPMorgan Chase Bank, N.A., as
Administrative Agent, is incorporated herein by reference to
Exhibit 10.1 to the December 23, 2009 8-K

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Number		Description
10	.8	Acknowledgment and Confirmation Agreement, dated as of
August 31, 2009, among SS&C Technologies Canada Corp.,
JPMorgan Chase Bank, N.A. and JPMorgan Chase Bank, N.A., Toronto
Branch, is incorporated herein by reference to Exhibit 10.2
to the September 4, 2009 8-K
10	.9	Stockholders Agreement, dated as of November 23, 2005, by
and among the Registrant, Carlyle Partners IV, L.P., CP IV
Coinvestment, L.P., William C. Stone and Other Executive
Stockholders (as defined therein) is incorporated herein by
reference to Exhibit 10.5 to the Form S-4
10	.10	Amendment No. 1, dated April 22, 2008, to the
Stockholders Agreement dated as of November 23, 2005, by
and among the Registrant, Carlyle Partners IV, L.P., CP IV
Coinvestment, L.P. and William C. Stone is incorporated herein
by reference to Exhibit 10.28 to the Form S-1
10	.11	Amendment No. 2, dated March 2, 2010, to the
Stockholders Agreement dated as of November 23, 2005, as
amended by Amendment No. 1 to the Stockholders Agreement dated
April 22, 2008, by and among the Registrant, Carlyle
Partners IV, L.P., CP IV Coinvestment, L.P. and William C. Stone
is incorporated herein by reference to Exhibit 10.1 to
SS&C Technologies, Inc.’s Current Report on Form 8-K,
filed on March 2, 2010 (File No. 000-28430) (the
“March 2, 2010 8-K”)
10	.12	Registration Rights Agreement, dated as of November 23,
2005, by and among the Registrant, Carlyle Partners IV, L.P., CP
IV Coinvestment, L.P., William C. Stone and Other Executive
Investors (as defined therein) is incorporated herein by
reference to Exhibit 10.6 to the Form S-4
10	.13	Form of Service Provider Stockholders Agreement by and among the
Registrant, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P.
and the Service Provider Stockholders (as defined therein) is
incorporated herein by reference to Exhibit 10.7 to the Form S-4
10	.14	Amendment No. 1, dated April 22, 2008, to the Service
Provider Stockholders Agreement dated as of November 23,
2005, by and among the Registrant, Carlyle Partners IV, L.P. and
CP IV Coinvestment, L.P. is incorporated herein by reference to
Exhibit 10.29 to the Form S-1
10	.15	Management Agreement, dated as of November 23, 2005,
between the Registrant, William C. Stone and TC Group, L.L.C. is
incorporated herein by reference to Exhibit 10.8 to the Form S-4
10	.16	Amendment No. 1, dated April 22, 2008, to the
Management Agreement dated as of November 23, 2005, by and
among the Registrant, William C. Stone and TC Group, L.L.C. is
incorporated herein by reference to Exhibit 10.30 to the Form S-1
10	.17	SS&C Technologies, Inc. Management Rights Agreement, dated
as of November 23, 2005, by and among Carlyle Partners IV,
L.P., CP IV Coinvestment, L.P., the Registrant and SS&C
Technologies, Inc. is incorporated herein by reference to
Exhibit 10.9 to the Form S-4
10	.18	1998 Stock Incentive Plan, including form of stock option
agreement, is incorporated herein by reference to
Exhibit 10.10 to the Form S-4
10	.19	1999 Non-Officer Employee Stock Incentive Plan, including form
of stock option agreement, is incorporated herein by reference
to Exhibit 10.11 to the Form S-4

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Number		Description
10	.20	Form of Option Assumption Notice for 1998 Stock Incentive Plan
and 1999 Non-Officer Employee Stock Incentive Plan is
incorporated herein by reference to Exhibit 10.12 to the Form S-4
10	.21	2006 Equity Incentive Plan is incorporated herein by reference
to Exhibit 10.1 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on August 15, 2006 (File No. 333-135139) (the “August 15, 2006 8-K”)
10	.22	Forms of 2006 Equity Incentive Plan Amended and Restated Stock
Option Grant Notice and Amended and Restated Stock Option
Agreement are incorporated herein by reference to Exhibit 10.2
to the March 2, 2010 8-K
10	.23	Form of Dividend Equivalent Agreement is incorporated herein by
reference to Exhibit 10.3 to the August 15, 2006 8-K
10	.24	Form of Stock Award Agreement is incorporated herein by
reference to Exhibit 10.4 to the August 15, 2006 8-K
10	.25	2008 Stock Incentive Plan is incorporated herein by reference to
Exhibit 10.26 to the Form S-1
10	.26**	Form of 2008 Stock Incentive Plan Stock Option Grant Notice and
Stock Option Agreement
10	.27**	Employment Agreement, dated as of March 11, 2010, by and
among William C. Stone, the Registrant and SS&C
Technologies, Inc.
10	.28	Lease Agreement, dated September 23, 1997, by and between
SS&C Technologies, Inc. and Monarch Life Insurance Company,
as amended by First Amendment to Lease dated as of
November 18, 1997, is incorporated herein by reference to
Exhibit 10.15 to SS&C Technologies, Inc.’s Annual
Report on Form 10-K for the year ended December 31, 1997 (File No. 000-28430)
10	.29	Second Amendment to Lease, dated as of April 1999, between
SS&C Technologies, Inc. and New Boston Lamberton Limited
Partnership is incorporated herein by reference to
Exhibit 10.12 to SS&C Technologies, Inc.’s Annual
Report on Form 10-K for the year ended December 31, 2004 (File No. 000-28430) (the “2004 10-K”)
10	.30	Third Amendment to Lease, effective as of July 1, 1999,
between SS&C Technologies, Inc. and New Boston Lamberton
Limited Partnership is incorporated herein by reference to
Exhibit 10.13 to the 2004 10-K
10	.31	Fourth Amendment to Lease, effective as of June 7, 2005,
between SS&C Technologies, Inc. and New Boston Lamberton
Limited Partnership, is incorporated herein by reference to
Exhibit 10.5 to SS&C Technologies, Inc.’s
Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2005 (File No. 000-28430) (the “Q2 2005 10-Q”)
10	.32	Fifth Amendment to Lease, dated as of November 1, 2006, by
and between SS&C Technologies, Inc. and New Boston
Lamberton Limited Partnership is incorporated herein by
reference to Exhibit 10.25 to the Form S-1
10	.33	Lease Agreement, dated January 6, 1998, by and between
Financial Models Company Inc. and Polaris Realty (Canada)
Limited, as amended by First Amendment of Lease, dated as of
June 24, 1998, and as amended by Second Lease Amending
Agreement, dated as of November 13, 1998, is incorporated
herein by reference to Exhibit 10.6 to the Q2 2005 10-Q

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Number		Description
10	.34	Amended and Restated Stock Option Agreement, dated
February 16, 2010, between the Registrant and William C.
Stone is incorporated herein by reference to Exhibit 10.33
to SS&C Technologies, Inc.’s Annual Report on Form
10-K, filed on February 26, 2010 (File No. 000-28430)
10	.35**	Form of Director Indemnification Agreement
21	**	Subsidiaries of the Registrant
23	.1**	Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included
in Exhibit 5.1)
23	.2**	Consent of PricewaterhouseCoopers LLP
24	**	Powers of Attorney (included in the signature pages to this
registration statement)
99	.1**	Consent of Jonathan E. Michael

*	To be filed by amendment.
**	Previously filed.
†	The Registrant hereby agrees to
furnish supplementally a copy of any omitted schedules to this
agreement to the Securities and Exchange Commission upon its
request.

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ITEM 17. Undertakings.

The undersigned registrant hereby undertakes to provide to the underwriters at the closing specified in the underwriting agreement certificates in such denominations and registered in such names as required by the underwriters to permit prompt delivery to each purchaser.

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 registrant 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 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 and will be governed by the final adjudication of such issue.

The undersigned registrant hereby undertakes that:

(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 the purpose 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 offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

(3) For the purpose of determining liability under the Securities Act to any purchaser, each prospectus filed pursuant to Rule 424(b) as part of a registration statement relating to an offering, other than registration statements relying on Rule 430B or other than prospectuses filed in reliance on Rule 430A, shall be deemed to be part of and included in the registration statement as of the date it is first used after effectiveness. Provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such date of first use.

(4) In a primary offering of securities of the undersigned registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the

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following communications, the undersigned registrant will be a seller to the purchaser and will be considered to offer or sell such securities to such purchaser:

(i) Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424;

(ii) Any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the undersigned registrant;

(iii) The portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or its securities provided by or on behalf of the undersigned registrant; and

(iv) Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser.

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Signatures

Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this Amendment No. 5 to Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the Town of Windsor, State of Connecticut on March 25, 2010.

SS&C TECHNOLOGIES HOLDINGS, INC.

By: /s/ William C. Stone

William C. Stone

Chairman of the Board and Chief Executive

Officer

Pursuant to the requirements of the Securities Act of 1933, this Amendment No. 5 to Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

Signatures		Date
/s/ William
C. Stone William
C. Stone	Chairman of the Board and Chief Executive Officer (Principal Executive Officer)	March 25, 2010
/s/ Patrick
J. Pedonti Patrick
J. Pedonti	Senior Vice President and Chief Financial Officer (Principal Financial and Accounting Officer)	March 25, 2010
* Normand
A. Boulanger	Director	March 25, 2010
* Campbell
R. Dyer	Director	March 25, 2010
* William
A. Etherington	Director	March 25, 2010
* Allan
M. Holt	Director	March 25, 2010
* Claudius
E. Watts IV	Director	March 25, 2010
By:	/s/ Patrick
J. Pedonti Patrick
J. Pedonti Attorney-in-fact

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Exhibit index

Number		Description
1	.1**	Form of Underwriting Agreement
2	.1†	Agreement and Plan of Merger, dated as of July 28, 2005, by
and among the Registrant, Sunshine Merger Corporation and
SS&C Technologies, Inc. is incorporated herein by reference
to Exhibit 2.1 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on July 28, 2005 (File No. 000-28430)
2	.2†	Amendment No. 1 to Agreement and Plan of Merger, dated as
of August 25, 2005, by among the Registrant, Sunshine
Merger Corporation and SS&C Technologies, Inc. is
incorporated herein by reference to Exhibit 2.1 to
SS&C Technologies, Inc.’s Current Report on Form 8-K, filed on August 30, 2005 (File No. 000-28430)
2	.3†	Asset Purchase Agreement, dated September 30, 2008, by and
among SS&C Technologies New Jersey, Inc., Micro Design
Services, LLC and, for the limited purposes stated therein,
Roman J. Szymansky and Xavier F. Gonzales is incorporated
herein by reference to Exhibit 2.1 to SS&C
Technologies, Inc.’s Current Report on Form 8-K, filed on October 2, 2008 (File No. 333-135139)
3	.1**	Certificate of Incorporation of the Registrant, as amended
3	.2	Bylaws of the Registrant, as amended, are incorporated herein by
reference to Exhibit 3.2 to the Registrant’s
Registration Statement on Form S-1, as amended (File No. 333-143719) (the “Form S-1”)
3	.3**	Form of Restated Certificate of Incorporation of the Registrant
(to be effective upon the closing of this offering)
3	.4**	Form of Amended and Restated Bylaws of the Registrant (to be
effective upon the closing of this offering)
4	.1	Indenture, dated as of November 23, 2005, among Sunshine
Acquisition II, Inc., SS&C Technologies, Inc., the
Guarantors named on the signature pages thereto, and Wells Fargo
Bank, National Association, as Trustee, relating to the
11 3 / 4 % Senior
Subordinated Notes due 2013, including the form of
11 3 / 4 % Senior
Subordinated Note due 2013, is incorporated herein by reference
to Exhibit 4.1 to SS&C Technologies, Inc’s
Registration Statement on Form S-4, as amended (File No. 333-135139) (the “Form S-4”)
4	.2	First Supplemental Indenture, dated as of April 27, 2006,
among Cogent Management Inc., SS&C Technologies, Inc.
and Wells Fargo Bank, National Association, as Trustee, relating
to the
11 3 / 4 % Senior
Subordinated Notes due 2013, is incorporated herein by reference
to Exhibit 4.2 to the Form S-4
4	.3	Second Supplemental Indenture, dated as of September 1,
2009, among SS&C Technologies Connecticut, LLC, SS&C
Technologies, Inc. and Wells Fargo Bank, National Association,
as Trustee, relating to the
11 3 / 4 % Senior
Subordinated Notes due 2013, is incorporated herein by reference
to Exhibit 10.3 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on September 4, 2009 (File No. 000-28430) (the “September 4, 2009 8-K”)

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Number		Description
4	.4	Third Supplemental Indenture, dated as of December 22,
2009, among TheNextRound, Inc., SS&C Technologies,
Inc. and Wells Fargo Bank, National Association, as Trustee,
relating to the
11 3 / 4 % Senior
Subordinated Notes due 2013, is incorporated herein by reference
to Exhibit 10.2 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on December 23, 2009 (File No. 000-28430) (the “December 23, 2009 8-K”)
4	.5	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by Financial Models Company Ltd.,
Financial Models Holdings Inc., SS&C
Fund Administration Services LLC, OMR Systems Corporation
and Open Information Systems, Inc. is incorporated herein by
reference to Exhibit 4.3 to the Form S-4
4	.6	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by Cogent Management Inc. is
incorporated herein by reference to Exhibit 4.4 to the Form S-4
4	.7	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by SS&C Technologies
Connecticut, LLC is incorporated herein by reference to
Exhibit 10.4 to the September 4, 2009 8-K
4	.8	Guarantee of
11 3 / 4 % Senior
Subordinated Notes due 2013 by TheNextRound, Inc. is
incorporated herein by reference to Exhibit 10.3 to the
December 23, 2009 8-K
4	.9	Registration Rights Agreement, dated as of November 23,
2005, among Sunshine Acquisition II, Inc., SS&C
Technologies, Inc. and the Guarantors named therein, as Issuers,
and Wachovia Capital Markets, LLC, J.P. Morgan Securities
Inc. and Banc of America Securities LLC, as Initial Purchasers,
is incorporated herein by reference to Exhibit 4.5 to the Form S-4
4	.10	Purchase Agreement, dated as of November 17, 2005, between
Sunshine Acquisition II, Inc. and the Initial Purchasers named
in Schedule I thereto is incorporated herein by reference
to Exhibit 4.6 to the Form S-4
4	.11	Joinder Agreement, dated as of November 23, 2005, executed
by SS&C Technologies, Inc., Financial Models Company Ltd.,
Financial Models Holdings Inc., SS&C
Fund Administration Services LLC, OMR Systems Corporation
and Open Information Systems, Inc. is incorporated herein by
reference to Exhibit 4.7 to the Form S-4
4	.12	Joinder Agreement, dated as of April 27, 2006, executed by
Cogent Management Inc. is incorporated herein by reference to
Exhibit 4.8 to the Form S-4
4	.13	Joinder Agreement, dated as of September 1, 2009, executed by
SS&C Technologies Connecticut, LLC is incorporated herein
by reference to Exhibit 10.5 to the September 4, 2009 8-K
4	.14	Joinder Agreement, dated as of December 22, 2009, executed
by TheNextRound, Inc. is incorporated herein by reference to
Exhibit 10.4 to the December 23, 2009 8-K
4	.15	Specimen certificate evidencing shares of common stock
5	.1**	Opinion of Wilmer Cutler Pickering Hale and Dorr LLP

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Number		Description
10	.1	Credit Agreement, dated as of November 23, 2005, among
Sunshine Acquisition II, Inc., SS&C Technologies, Inc.,
SS&C Technologies Canada Corp., the several lenders from
time to time parties thereto, JPMorgan Chase Bank, N.A., as
Administrative Agent, JPMorgan Chase Bank, N.A., Toronto Branch,
as Canadian Administrative Agent, Wachovia Bank, National
Association, as Syndication Agent, and Bank of America, N.A., as
Documentation Agent, is incorporated herein by reference to
Exhibit 10.1 to the Form S-4
10	.2	First Amendment, dated as of March 6, 2007, to the Credit
Agreement, dated as of November 23, 2005, among SS&C
Technologies, Inc., SS&C Technologies Canada Corp., as CDN
Borrower, the several banks and other financial institutions or
entities from time to time parties to the Credit Agreement as
lenders, Wachovia Bank, National Association, as Syndication
Agent, JPMorgan Chase Bank, N.A., as Administrative Agent and
JPMorgan Chase Bank, N.A., Toronto Branch, as Canadian
Administrative Agent, is incorporated herein by reference to
Exhibit 10.1 to SS&C Technologies, Inc.’s Current
Report on Form 8-K, filed on March 9, 2007 (File No. 333-135139)
10	.3	Guarantee and Collateral Agreement, dated as of
November 23, 2005, made by the Registrant, Sunshine
Acquisition II, Inc., SS&C Technologies, Inc. and certain
of its subsidiaries in favor of JPMorgan Chase Bank, N.A., as
Administrative Agent, is incorporated herein by reference to
Exhibit 10.2 to the Form S-4
10	.4	CDN Guarantee and Collateral Agreement, dated as of
November 23, 2005, made by SS&C Technologies Canada
Corp. and 3105198 Nova Scotia Company in favor of JPMorgan Chase
Bank, N.A., Toronto Branch, as Canadian Administrative Agent, is
incorporated herein by reference to Exhibit 10.3 to the Form S-4
10	.5	Assumption Agreement, dated as of April 27, 2006, made by
Cogent Management Inc., in favor of JPMorgan Chase Bank, N.A.,
as Administrative Agent, is incorporated herein by reference to
Exhibit 10.4 to the Form S-4
10	.6	Assumption Agreement, dated as of August 31, 2009, made by
SS&C Technologies Connecticut, LLC, in favor of JPMorgan
Chase Bank, N.A., as Administrative Agent, is incorporated
herein by reference to Exhibit 10.1 to the
September 4, 2009 8-K
10	.7	Assumption Agreement, dated as of December 22, 2009, made
by TheNextRound, Inc., in favor of JPMorgan Chase Bank, N.A., as
Administrative Agent, is incorporated herein by reference to
Exhibit 10.1 to the December 23, 2009 8-K
10	.8	Acknowledgment and Confirmation Agreement, dated as of
August 31, 2009, among SS&C Technologies Canada Corp.,
JPMorgan Chase Bank, N.A. and JPMorgan Chase Bank, N.A.,
Toronto Branch, is incorporated herein by reference to
Exhibit 10.2 to the September 4, 2009 8-K
10	.9	Stockholders Agreement, dated as of November 23, 2005, by
and among the Registrant, Carlyle Partners IV, L.P., CP IV
Coinvestment, L.P., William C. Stone and Other Executive
Stockholders (as defined therein) is incorporated herein by
reference to Exhibit 10.5 to the Form S-4

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Number		Description
10	.10	Amendment No. 1, dated April 22, 2008, to the
Stockholders Agreement dated as of November 23, 2005, by
and among the Registrant, Carlyle Partners IV, L.P., CP IV
Coinvestment, L.P. and William C. Stone is incorporated herein
by reference to Exhibit 10.28 to the Form S-1
10	.11	Amendment No. 2, dated March 2, 2010, to the
Stockholders Agreement dated as of November 23, 2005, as
amended by Amendment No. 1 to the Stockholders Agreement
dated April 22, 2008, by and among the Registrant, Carlyle
Partners IV, L.P., CP IV Coinvestment, L.P. and William C. Stone
is incorporated herein by reference to Exhibit 10.1 to
SS&C Technologies, Inc.’s Current Report on Form 8-K,
filed on March 2, 2010 (File No. 000-28430) (the “March 2, 2010 8-K”)
10	.12	Registration Rights Agreement, dated as of November 23,
2005, by and among the Registrant, Carlyle Partners IV, L.P., CP
IV Coinvestment, L.P., William C. Stone and Other Executive
Investors (as defined therein) is incorporated herein by
reference to Exhibit 10.6 to the Form S-4
10	.13	Form of Service Provider Stockholders Agreement by and among the
Registrant, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P.
and the Service Provider Stockholders (as defined therein) is
incorporated herein by reference to Exhibit 10.7 to the Form S-4
10	.14	Amendment No. 1, dated April 22, 2008, to the Service
Provider Stockholders Agreement dated as of November 23,
2005, by and among the Registrant, Carlyle Partners IV, L.P. and
CP IV Coinvestment, L.P. is incorporated herein by reference to
Exhibit 10.29 to the Form S-1
10	.15	Management Agreement, dated as of November 23, 2005,
between the Registrant, William C. Stone and TC Group, L.L.C. is
incorporated herein by reference to Exhibit 10.8 to the Form S-4
10	.16	Amendment No. 1, dated April 22, 2008, to the
Management Agreement dated as of November 23, 2005, by and
among the Registrant, William C. Stone and TC Group, L.L.C. is
incorporated herein by reference to Exhibit 10.30 to the Form S-1
10	.17	SS&C Technologies, Inc. Management Rights Agreement, dated
as of November 23, 2005, by and among Carlyle Partners IV,
L.P., CP IV Coinvestment, L.P., the Registrant and SS&C
Technologies, Inc. is incorporated herein by reference to
Exhibit 10.9 to the Form S-4
10	.18	1998 Stock Incentive Plan, including form of stock option
agreement, is incorporated herein by reference to
Exhibit 10.10 to the Form S-4
10	.19	1999 Non-Officer Employee Stock Incentive Plan, including form
of stock option agreement, is incorporated herein by reference
to Exhibit 10.11 to the Form S-4
10	.20	Form of Option Assumption Notice for 1998 Stock Incentive Plan
and 1999 Non-Officer Employee Stock Incentive Plan is
incorporated herein by reference to Exhibit 10.12 to the Form S-4
10	.21	2006 Equity Incentive Plan is incorporated herein by reference
to Exhibit 10.1 to SS&C Technologies, Inc.’s
Current Report on Form 8-K, filed on August 15, 2006 (File No. 333-135139) (the “August 15, 2006 8-K”)

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Number		Description
10	.22	Forms of 2006 Equity Incentive Plan Amended and Restated Stock
Option Grant Notice and Amended and Restated Stock Option
Agreement are incorporated herein by reference to Exhibit 10.2
to the March 2, 2010 8-K
10	.23	Form of Dividend Equivalent Agreement is incorporated herein by
reference to Exhibit 10.3 to the August 15, 2006 8-K
10	.24	Form of Stock Award Agreement is incorporated herein by
reference to Exhibit 10.4 to the August 15, 2006 8-K
10	.25	2008 Stock Incentive Plan is incorporated herein by reference to
Exhibit 10.26 to the Form S-1
10	.26**	Form of 2008 Stock Incentive Plan Stock Option Grant Notice and
Stock Option Agreement
10	.27**	Employment Agreement, dated as of March 11, 2010, by and
among William C. Stone, the Registrant and SS&C
Technologies, Inc.
10	.28	Lease Agreement, dated September 23, 1997, by and between
SS&C Technologies, Inc. and Monarch Life Insurance Company,
as amended by First Amendment to Lease dated as of
November 18, 1997, is incorporated herein by reference to
Exhibit 10.15 to SS&C Technologies, Inc.’s Annual
Report on Form 10-K for the year ended December 31, 1997 (File No. 000-28430)
10	.29	Second Amendment to Lease, dated as of April 1999, between
SS&C Technologies, Inc. and New Boston Lamberton Limited
Partnership is incorporated herein by reference to
Exhibit 10.12 to SS&C Technologies, Inc.’s Annual
Report on Form 10-K for the year ended December 31, 2004 (File No. 000-28430) (the “2004 10-K”)
10	.30	Third Amendment to Lease, effective as of July 1, 1999,
between SS&C Technologies, Inc. and New Boston Lamberton
Limited Partnership is incorporated herein by reference to
Exhibit 10.13 to the 2004 10-K
10	.31	Fourth Amendment to Lease, effective as of June 7, 2005,
between SS&C Technologies, Inc. and New Boston Lamberton
Limited Partnership, is incorporated herein by reference to
Exhibit 10.5 to SS&C Technologies, Inc.’s
Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2005 (File No. 000-28430) (the “Q2 2005 10-Q”)
10	.32	Fifth Amendment to Lease, dated as of November 1, 2006, by
and between SS&C Technologies, Inc. and New Boston
Lamberton Limited Partnership is incorporated herein by
reference to Exhibit 10.25 to the Form S-1
10	.33	Lease Agreement, dated January 6, 1998, by and between
Financial Models Company Inc. and Polaris Realty (Canada)
Limited, as amended by First Amendment of Lease, dated as of
June 24, 1998, and as amended by Second Lease Amending
Agreement, dated as of November 13, 1998, is incorporated
herein by reference to Exhibit 10.6 to the Q2 2005 10-Q
10	.34	Amended and Restated Stock Option Agreement, dated
February 10, 2010, between the Registrant and William C.
Stone is incorporated herein by reference to Exhibit 10.33
to SS&C Technologies, Inc.’s Annual Report on Form
10-K, filed on February 26, 2010 (File No. 000-28430)

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Number		Description
10	.35**	Form of Director Indemnification Agreement
21	**	Subsidiaries of the Registrant
23	.1**	Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included
in Exhibit 5.1)
23	.2**	Consent of PricewaterhouseCoopers LLP
24	**	Powers of Attorney (included in the signature pages to this
registration statement)
99	.1**	Consent of Jonathan E. Michael

*	To be filed by amendment.
**	Previously filed.
†	The Registrant hereby agrees to
furnish supplementally a copy of any omitted schedules to this
agreement to the Securities and Exchange Commission upon its
request.

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