-----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, OHxnAsng1/FAQcqUki/zUA+7dBNZHII4NI0He8IVqXa4wd3P6qJHS62wDofOGoEH Z2hBfs8F7XPg9AvK0tIdZg== 0001104659-05-010942.txt : 20050314 0001104659-05-010942.hdr.sgml : 20050314 20050314214034 ACCESSION NUMBER: 0001104659-05-010942 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050310 FILED AS OF DATE: 20050314 DATE AS OF CHANGE: 20050314 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHARDSON ROBERT CENTRAL INDEX KEY: 0001207688 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17139 FILM NUMBER: 05679942 MAIL ADDRESS: STREET 1: 20393 KENT WAY CITY: LOS GATOS STATE: CA ZIP: 95030 4 1 a4.xml 4 X0202 4 2005-03-10 1 0000837913 GENUS INC GGNS 0001207688 RICHARDSON ROBERT 1139 KARLSTAD DRIVE SUNNYVALE CA 94089 1 0 0 0 Non-Qualified Stock Option (right to buy) 2005-03-10 4 U 0 37500 A 2005-03-10 2005-06-10 Am Dep Shares 19125 19125 D Option are exercisable in exchange for shares of AIXTRON American depositary shares (on a .51 for each Genus share basis) pursuant to the terms of the Agreement and Plan of Merger dated July 1, 2004 between the Company and AIXTRON AG which became effective on March 10, 2005 (the "Closing Date"). The options are fully-vested as of the Closing Date and shall be exercisable within thirty days from the Closing Date. Each outstanding option shall be converted, upon exercise, into the right to receive .51 AIXTRON American depositary shares (for each Genus share) with an exercise price equal to the exercise price of the derivative security as stated in the stock option agreements between Mr. Richardson and the Company divided by the conversion ratio of .51. /s/ Irene Dunlop, by power of attorney 2005-03-14 -----END PRIVACY-ENHANCED MESSAGE-----