8-K 1 doc1.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 DECEMBER 12, 2001 ----------------- Date of Report (Date of earliest event reported) GENUS, INC. ----------- (Exact name of registrant as specified in its charter) CALIFORNIA ---------- (State or other jurisdiction of incorporation or organization) 000-17139 94-2790804 --------- ---------- Commission File Number (I.R.S. Employer Identification Number) 1139 KARLSTAD DRIVE SUNNYVALE, CA 94089 ------------------- (Address of principal executive offices) (408) 747-7120 -------------- (Registrant's telephone number, including area code) ITEM 5. OTHER EVENTS The information that is set forth in the Registrant's Press Release dated December 12, 2001, is incorporated herein by reference. ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS (c) Exhibits 99.1 Press release of Genus, Inc. dated December 12, 2001. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunder duly authorized. GENUS, INC. Date: December 12, 2001 /s/Shum Mukherjee ------------------ Shum Mukherjee Vice President of Finance and Chief Financial Officer EXHIBIT INDEX Exhibit No. Description ------------ ----------- 99.1 Press release of Genus, Inc. dated December 12, 2001 COMPANY CONTACT: EDITORIAL CONTACT: Shum Mukherjee Dave Richardson Genus, Inc. Positio, Inc. Tel: (408) 747-7140 Ext. 1311 Tel: (650) 815-1006 Ext.108 smukherjee@genus.com dave@positiopr.com GENUS PLANS PRIVATE PLACEMENT OF COMMON STOCK SUNNYVALE, CALIF.-DECEMBER 12, 2001-Genus, Inc. (Nasdaq: GGNS) announced its intention to obtain financing through a private placement of its common stock and warrants. The Company expects to price the stock at an average of the company's common stock value weighted over the five days prior to the execution of the financing. The company anticipates completing the transaction during the first quarter, 2002. Genus plans to use the private placement proceeds to fund the next phases of commercialization of its atomic layer deposition technology. Primarily this will include inventory, sales and support to address new customers, working capital, and will also include general corporate purposes. The securities offered in the private placement will not be registered under the Securities Act of 1933 and may not be offered or sold in the United States without either being registered or being subject to an applicable exemption from registration requirements. # # #