-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EeiF3rfkMSFOe0RH8FyD4Sh8VCijA56XzO31TuTVLeciRH1HL/oV66f0cbAMZT9D IgFAyQhKzfPthFdker20IQ== 0001104659-03-002149.txt : 20030213 0001104659-03-002149.hdr.sgml : 20030213 20030213171948 ACCESSION NUMBER: 0001104659-03-002149 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030213 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ROSATI MARIO M CENTRAL INDEX KEY: 0001197808 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 650 PAGE MILL ROAD CITY: PALO ALTO STATE: CA ZIP: 00000 BUSINESS PHONE: 6504939300 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENUS INC CENTRAL INDEX KEY: 0000837913 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 942790804 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17139 FILM NUMBER: 03561002 BUSINESS ADDRESS: STREET 1: 1139 KARLSTAD DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089-2117 BUSINESS PHONE: 4087477120 MAIL ADDRESS: STREET 1: 1139 KARLSTAD DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089-2117 5 1 j7598_5.htm 5

FORM 5

 

    Check box if no longer
subject to Section 16.
Form 4 or Form 5 obligations may continue. See Instruction 1(b).

    Form 3 Holdings Reported

    Form 4 Transactions Reported

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549


ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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 1. Name and Address of Reporting Person

Rosati,    Mario    M

(Last)            (First)              (Middle)



1139 Karlstad Drive

(Street)



Sunnyvale, CA   94089

(City)       (State)          (Zip)

 2. Issuer Name and Ticker
    or Trading Symbol

Genus, Inc   (GGNS)




 3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)




 4. Statement for Month/Year

12/31/02


 



 5. If Amendment, Date of
    Original (Month/Year)

  / 


 6. Relationship of Reporting Person(s) to Issuer
    (Check all applicable)

  X   Director

        Officer
(give title below)

        10% Owner

        Other
(specify below)


                                    


 7. Individual or Joint/Group Reporting
    (check applicable line)

 

  X  Form Filed by One Reporting Person

       Form Filed by More than One Reporting Person

 

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

 

1. Title of
    Security
    (Instr. 3)

2. Transaction     Date
    (Month/Day/
    Year)

2A. Deemed
      Execution Date,
      if any
      (Month/Day/Year)

3. Transaction
    Code
    (Instr. 8)

4. Securities Acquired (A)
    or Disposed of (D)
    (Instr. 3, 4, and 5)

5. Amount of
    Securities
    Beneficially
    Owned at the
    end of Issuer's     Fiscal Year
    (Instr. 3 and 4)

6. Owner-
    ship
    Form:
    Direct(D)
    or
    Indirect (I)
    (Instr. 4)

7.  Nature of
     Indirect
     Beneficial
     Ownership
     (Instr. 4)

Amount

(A) or (D)

Price

Common Stock

 

 

 

 

 

 

3,500

D

 

Common Stock

 

 

 

 

 

 

1,500

D(1)

 

Common Stock

 

 

 

 

 

 

735

I

WS Investment Company(2)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(1)  Shares held by Mario M. Rosati, Trustee of the Mario Rosati Trust, U/D/T dated 1/9/90

 

(2)  Held of record by WS Investments Company.  Mr. Rosati is a general partner of WS Investments Company and disclaims beneficial ownership of the Shares held by WS Investments Company except to the extent of his proportionate partnership interest therein.

 

* If the form is filed by more than one reporting person, see instruction 4(b)(v).


 

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

 

1. Title of Derivative Security
(Instr. 3)

2. Conver sion or Exercise Price of Derivative Security

3. Transaction Date
(Month/
Day/Year)

3A. Deemed Execution Date, if any (Month/
Day/Year)

4. Transaction Code
(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 

6. Date Exercisable and Expiration Date
(Month/Day/Year)

7. Title and Amount of Underlying Securities
(Instr. 3 and 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of Derivative Securities Beneficially Owned at End of Year
(Instr. 4)

10.Ownership of Derivative Security:
Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

(A)

(D)

Date
Exercisable

Expiration
Date

Title

Amount or Number of Shares

Non-qualified Common Stock Option (Right to Buy)

$2.63

01/31/02

 

A

7,500

 

01/31/02 (1)

01/31/07 (1)

Common Stock

7,500

$2.63

25,000

D

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Explanation of Responses:

(1)  All shares subject to the option shall vest and become exercisable with immediate effect.

 

 

 

 

/s/ Mario M. Rosati

 

** Signature of Reporting Person

2-12-03

 

Date

 

**         Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
             See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

 

Note:    File three copies of this Form, one of which must be manually signed.
             If space provided is insufficient, see Instruction 6 for procedure.

 

http://www.sec.gov/divisions/corpfin/forms/form5.htm

Last update: 09/03/2002

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