Form D Raw Data - Electronic Filing Depository

EFDID: 71953EFD: Raw Data

Issuer: WAVE SYSTEMS CORP (0000919013) - D

Accession: 0001104659-13-024902 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 27, 2013
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0706 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0000919013 </ cik >

< entityName > WAVE SYSTEMS CORP </ entityName >

- < issuerAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (413) 243-1600 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< lastName > Bagalay, Jr., Ph.D. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Nolan </ firstName >

< lastName > Bushnell </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gerard </ firstName >

< lastName > Feeney </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< lastName > Frankenberg </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > George </ firstName >

< lastName > Gilder </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< lastName > McConnaughy, Jr. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Steven </ firstName >

< lastName > Sprague </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 480 Pleasant Street </ street1 >

< city > Lee </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01238 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Technology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > $25,000,001 - $100,000,000 </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2013-03-12 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isSecurityToBeAcquiredType > true </ isSecurityToBeAcquiredType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 500000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > DAWSON JAMES SECURITIES </ recipientName >

< recipientCRDNumber > 130645 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 NORTH FEDERAL HIGHWAY </ street1 >

< street2 > SUITE 500 </ street2 >

< city > BOCA RATON </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33432 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 1000000 </ totalOfferingAmount >

< totalAmountSold > 1000000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 2 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 0 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 60000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > true </ authorizedRepresentative >

- < signature >

< issuerName > Wave Systems Corp </ issuerName >

< signatureName > /s/ Gerard Feeney </ signatureName >

< nameOfSigner > Gerard Feeney </ nameOfSigner >

< signatureTitle > Chief Financial Officer </ signatureTitle >

< signatureDate > 2013-03-27 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >