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UNITED STATES
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
Date of Report (Date of earliest event reported)
February 12, 1998
GENUS, INC.
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(Exact name of registrant as specified in its charter)
CALIFORNIA
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(State or other jurisdiction of incorporation or organization)
0-17139 94-2790804
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Commission File Number (I.R.S. Employer Identification Number)
1139 Karlstad Drive
Sunnyvale, CA 94089
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(Address of principal executive offices)
(408) 747-7120
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(Registrant's telephone number, including area code)
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ITEM 5. OTHER EVENTS
On February 12, 1998, the Registrant closed a private placement of up to
$10,000,000 of convertible preferred stock to certain institutional investors
(the "Investors") pursuant to Regulation D promulgated under the Securities
Act of 1933, as amended. The Investors invested $5,000,000 at the closing
and will invest another $5,000,000 in the future if certain conditions are
met.
The material agreements between the Registrant and the Investors and a
copy of the Registrant's press release announcing the closing of the
preferred stock financing have been filed as exhibits to this Current Report
on Form 8-K.
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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: February 17, 1998 /s/ MARY F. BOBEL
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Mary F. Bobel
Executive Vice President and Chief Financial
Officer
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ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS
(c) EXHIBITS (in accordance with Item 601 of Regulation S-K)
4.2 Convertible Preferred Stock Purchase Agreement, dated
February 2, 1998, among the Registrant and the Investors.
4.3 Registration Rights Agreement, dated February 2, 1998,
among the Registrant and the Investors.
4.4 Certificate of Determination.
99.1 Press Release dated February 12, 1998
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INDEX TO EXHIBITS
EXHIBIT
NUMBER EXHIBIT NAME
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4.2 Convertible Preferred Stock Purchase Agreement, dated
February 2, 1998, among the Registrant and the Investors.
4.3 Registration Rights Agreement, dated February 2, 1998, among
the Registrant and the Investors.
4.4 Certificate of Determination.
99.1 Press Release dated February 12, 1998.
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