-----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, ODG45zuSYJAsvkupTu+/PtcDGz4ekA3g1+4B3okt6/O3/GlV7wigqWhjpSD6yhVy DCKoa1UWdnV1/LRpAmwHRw== 0001104659-05-010943.txt : 20050314 0001104659-05-010943.hdr.sgml : 20050314 20050314215034 ACCESSION NUMBER: 0001104659-05-010943 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: FORSYTH GERALD FREDERICK CENTRAL INDEX KEY: 0001218529 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17139 FILM NUMBER: 05679957 BUSINESS ADDRESS: STREET 1: 120 TERESITA WAY CITY: LOS GATOS STATE: CA ZIP: 95032 4 1 a4.xml 4 X0202 4 2005-03-10 1 0000837913 GENUS INC GGNS 0001218529 FORSYTH GERALD FREDERICK 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 Options 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. Forsyth and the Company divided by the conversion ratio of .51. /s/ Irene Dunlop, by power of attorney 2005-03-14 -----END PRIVACY-ENHANCED MESSAGE-----