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GENIN ALEX 5

Accession 0001140361-07-019110

CIK 0001072842other
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Filed

Oct 1, 8:00 PM ET

Accepted

Oct 2, 4:05 PM ET

Size

67.4 KB

Accession

0001140361-07-019110

Insider Transaction Report

Form 5
Period: 1999-08-23
FIRST CAPITAL INTERNATIONAL INCFCPN
GENIN ALEX
DirectorPresident, CEO and Chairman10% Owner
Transactions
  • Purchase

    Common stock

    2006-06-14$0.51/sh+3,333$1,700→ 20,578,712 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2000-03-03$1.00/sh+100,000$100,000→ 16,508,234 total(indirect: United Capital Group, Ltd.)
  • Award

    Common stock

    2001-10-02+1,000,000→ 19,235,379 total
  • Award

    Stock options

    2006-07-25+900,000→ 4,466,667 total
    Exercise: $0.06From: 2006-07-25Exp: 2008-01-30→ Common stock (900,000 underlying)
  • Purchase

    Common stock

    1999-08-27$0.88/sh+200$175→ 15,907,900 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-07-12$0.51/sh+1,667$850→ 20,587,045 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2000-10-18$0.51/sh−116,667$59,967→ 17,033,234 total(indirect: Pacific Commercial)
  • Purchase

    Preferred stock

    2003-02-06$1.00/sh+500,000$500,000→ 1,500,000 total(indirect: United Capital Group Ltd.)
    Exercise: $0.05From: 2003-02-06Exp: 2008-06-30→ Common stock (500,000 underlying)
  • Purchase

    Common stock

    2006-08-18$0.65/sh+1,000$650→ 20,590,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Preferred stock

    2002-10-18$0.25/sh+1,000,000$250,000→ 1,000,000 total(indirect: United Capital Group Ltd.)
    Exercise: $0.07From: 2002-10-18Exp: 2008-05-15→ Common stock (1,000,000 underlying)
  • Award

    Stock options

    2004-12-20+1,733,333→ 3,566,667 total
    Exercise: $0.04From: 2004-12-20Exp: 2007-12-20→ Common stock (1,733,333 underlying)
  • Purchase

    Common stock

    1999-12-10$0.30/sh+166,667$50,000→ 16,074,900 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2000-01-28$0.30/sh+166,667$50,000→ 16,241,567 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-08-14$0.51/sh+1,000$510→ 20,589,711 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2001-08-27+202,145→ 18,235,379 total(indirect: Baltoil)
  • Purchase

    Common stock

    2006-06-13$0.45/sh+6,667$3,000→ 20,575,379 total(indirect: United Capital Group)
  • Purchase

    Common stock

    2001-08-16$0.15/sh+1,000,000$150,000→ 18,033,234 total(indirect: Pacific Commercial)
  • Exercise of In-Money

    Stock options

    2006-09-20−333,334→ 4,133,333 total(indirect: United Capital Group Ltd.)
    Exercise: $0.12From: 2003-10-14Exp: 2006-10-14→ Common stock (333,334 underlying)
  • Purchase

    Common stock

    2006-06-29$0.60/sh+1,666$1,000→ 20,583,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2000-06-14$0.60/sh+333,334$200,000→ 16,841,568 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2002-08-06$0.15/sh+333,333$50,000→ 19,568,712 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2003-02-14$0.15/sh+666,667$100,000→ 20,568,712 total(indirect: Euro Capital Group, Ltd.)
  • Other

    Stock options

    2003-10-14+333,334→ 1,833,334 total(indirect: United Capital Group Ltd.)
    Exercise: $0.12From: 2003-10-14Exp: 2006-10-14→ Common stock (333,334 underlying)
  • Purchase

    Common stock

    2002-10-23$0.18/sh+333,333$60,000→ 19,902,045 total(indirect: Euro Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-30$0.45/sh+1,667$750→ 20,585,378 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    1999-08-23$0.88/sh+534$467→ 15,907,700 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2000-09-11$0.45/sh+333,333$150,000→ 17,149,901 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    1999-10-07$0.88/sh+333$291→ 15,908,233 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-08-09$0.45/sh+1,666$750→ 20,588,711 total(indirect: United Capital Group, Ltd.)
  • Exercise of In-Money

    Common stock

    2006-09-20$0.12/sh+333,334$40,000→ 20,925,045 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-21$0.42/sh+3,333$1,400→ 20,582,045 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-09-05$0.45/sh+1,000$450→ 20,591,711 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2000-06-15$0.40/sh−25,000$10,000→ 16,816,568 total(indirect: United Capital Group, Ltd.)
UNITED CAPITAL GROUP LTD
10% Owner
Transactions
  • Purchase

    Common stock

    2000-09-11$0.45/sh+333,333$150,000→ 17,149,901 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Preferred stock

    2003-02-06$1.00/sh+500,000$500,000→ 1,500,000 total(indirect: United Capital Group Ltd.)
    Exercise: $0.05From: 2003-02-06Exp: 2008-06-30→ Common stock (500,000 underlying)
  • Other

    Common stock

    2000-06-15$0.40/sh−25,000$10,000→ 16,816,568 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2000-10-18$0.51/sh−116,667$59,967→ 17,033,234 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-08-14$0.51/sh+1,000$510→ 20,589,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2000-03-03$1.00/sh+100,000$100,000→ 16,508,234 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    1999-08-27$0.88/sh+200$175→ 15,907,900 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    1999-08-23$0.88/sh+534$467→ 15,907,700 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2000-01-28$0.30/sh+166,667$50,000→ 16,241,567 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-06-13$0.45/sh+6,667$3,000→ 20,575,379 total(indirect: United Capital Group)
  • Other

    Common stock

    2001-08-27+202,145→ 18,235,379 total(indirect: Baltoil)
  • Other

    Stock options

    2003-10-14+333,334→ 1,833,334 total(indirect: United Capital Group Ltd.)
    Exercise: $0.12From: 2003-10-14Exp: 2006-10-14→ Common stock (333,334 underlying)
  • Purchase

    Common stock

    2002-10-23$0.18/sh+333,333$60,000→ 19,902,045 total(indirect: Euro Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-21$0.42/sh+3,333$1,400→ 20,582,045 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-08-18$0.65/sh+1,000$650→ 20,590,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-30$0.45/sh+1,667$750→ 20,585,378 total(indirect: United Capital Group, Ltd.)
  • Exercise of In-Money

    Common stock

    2006-09-20$0.12/sh+333,334$40,000→ 20,925,045 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-07-12$0.51/sh+1,667$850→ 20,587,045 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    1999-10-07$0.88/sh+333$291→ 15,908,233 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2000-06-14$0.60/sh+333,334$200,000→ 16,841,568 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-29$0.60/sh+1,666$1,000→ 20,583,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-08-09$0.45/sh+1,666$750→ 20,588,711 total(indirect: United Capital Group, Ltd.)
  • Exercise of In-Money

    Stock options

    2006-09-20−333,334→ 4,133,333 total(indirect: United Capital Group Ltd.)
    Exercise: $0.12From: 2003-10-14Exp: 2006-10-14→ Common stock (333,334 underlying)
  • Award

    Stock options

    2006-07-25+900,000→ 4,466,667 total
    Exercise: $0.06From: 2006-07-25Exp: 2008-01-30→ Common stock (900,000 underlying)
  • Purchase

    Common stock

    1999-12-10$0.30/sh+166,667$50,000→ 16,074,900 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2001-08-16$0.15/sh+1,000,000$150,000→ 18,033,234 total(indirect: Pacific Commercial)
  • Award

    Common stock

    2001-10-02+1,000,000→ 19,235,379 total
  • Purchase

    Common stock

    2006-06-14$0.51/sh+3,333$1,700→ 20,578,712 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2002-08-06$0.15/sh+333,333$50,000→ 19,568,712 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2003-02-14$0.15/sh+666,667$100,000→ 20,568,712 total(indirect: Euro Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-09-05$0.45/sh+1,000$450→ 20,591,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Preferred stock

    2002-10-18$0.25/sh+1,000,000$250,000→ 1,000,000 total(indirect: United Capital Group Ltd.)
    Exercise: $0.07From: 2002-10-18Exp: 2008-05-15→ Common stock (1,000,000 underlying)
  • Award

    Stock options

    2004-12-20+1,733,333→ 3,566,667 total
    Exercise: $0.04From: 2004-12-20Exp: 2007-12-20→ Common stock (1,733,333 underlying)
EURO CAPITAL GROUP LTD
10% Owner
Transactions
  • Award

    Common stock

    2001-10-02+1,000,000→ 19,235,379 total
  • Purchase

    Common stock

    2000-03-03$1.00/sh+100,000$100,000→ 16,508,234 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2000-06-15$0.40/sh−25,000$10,000→ 16,816,568 total(indirect: United Capital Group, Ltd.)
  • Award

    Stock options

    2004-12-20+1,733,333→ 3,566,667 total
    Exercise: $0.04From: 2004-12-20Exp: 2007-12-20→ Common stock (1,733,333 underlying)
  • Purchase

    Common stock

    2002-08-06$0.15/sh+333,333$50,000→ 19,568,712 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-08-09$0.45/sh+1,666$750→ 20,588,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2001-08-16$0.15/sh+1,000,000$150,000→ 18,033,234 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2000-01-28$0.30/sh+166,667$50,000→ 16,241,567 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2000-06-14$0.60/sh+333,334$200,000→ 16,841,568 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-21$0.42/sh+3,333$1,400→ 20,582,045 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-08-14$0.51/sh+1,000$510→ 20,589,711 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2000-10-18$0.51/sh−116,667$59,967→ 17,033,234 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-08-18$0.65/sh+1,000$650→ 20,590,711 total(indirect: United Capital Group, Ltd.)
  • Award

    Stock options

    2006-07-25+900,000→ 4,466,667 total
    Exercise: $0.06From: 2006-07-25Exp: 2008-01-30→ Common stock (900,000 underlying)
  • Purchase

    Common stock

    1999-08-23$0.88/sh+534$467→ 15,907,700 total(indirect: Pacific Commercial)
  • Exercise of In-Money

    Stock options

    2006-09-20−333,334→ 4,133,333 total(indirect: United Capital Group Ltd.)
    Exercise: $0.12From: 2003-10-14Exp: 2006-10-14→ Common stock (333,334 underlying)
  • Purchase

    Common stock

    1999-08-27$0.88/sh+200$175→ 15,907,900 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2003-02-14$0.15/sh+666,667$100,000→ 20,568,712 total(indirect: Euro Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-29$0.60/sh+1,666$1,000→ 20,583,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Preferred stock

    2002-10-18$0.25/sh+1,000,000$250,000→ 1,000,000 total(indirect: United Capital Group Ltd.)
    Exercise: $0.07From: 2002-10-18Exp: 2008-05-15→ Common stock (1,000,000 underlying)
  • Purchase

    Common stock

    1999-12-10$0.30/sh+166,667$50,000→ 16,074,900 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2002-10-23$0.18/sh+333,333$60,000→ 19,902,045 total(indirect: Euro Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-06-13$0.45/sh+6,667$3,000→ 20,575,379 total(indirect: United Capital Group)
  • Purchase

    Common stock

    2006-06-30$0.45/sh+1,667$750→ 20,585,378 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-09-05$0.45/sh+1,000$450→ 20,591,711 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    1999-10-07$0.88/sh+333$291→ 15,908,233 total(indirect: Pacific Commercial)
  • Purchase

    Common stock

    2006-06-14$0.51/sh+3,333$1,700→ 20,578,712 total(indirect: United Capital Group, Ltd.)
  • Purchase

    Common stock

    2006-07-12$0.51/sh+1,667$850→ 20,587,045 total(indirect: United Capital Group, Ltd.)
  • Other

    Common stock

    2001-08-27+202,145→ 18,235,379 total(indirect: Baltoil)
  • Purchase

    Preferred stock

    2003-02-06$1.00/sh+500,000$500,000→ 1,500,000 total(indirect: United Capital Group Ltd.)
    Exercise: $0.05From: 2003-02-06Exp: 2008-06-30→ Common stock (500,000 underlying)
  • Other

    Stock options

    2003-10-14+333,334→ 1,833,334 total(indirect: United Capital Group Ltd.)
    Exercise: $0.12From: 2003-10-14Exp: 2006-10-14→ Common stock (333,334 underlying)
  • Purchase

    Common stock

    2000-09-11$0.45/sh+333,333$150,000→ 17,149,901 total(indirect: United Capital Group, Ltd.)
  • Exercise of In-Money

    Common stock

    2006-09-20$0.12/sh+333,334$40,000→ 20,925,045 total(indirect: United Capital Group, Ltd.)
Footnotes (6)
  • [F1]All shares disclosed reflect the effect of the Issuer's 3-to-1 reverse split which became effective on August 7, 2006.
  • [F2]Compensation for transfer of ownership rights to patent.
  • [F3]Compensation.
  • [F4]Accepted as payment of personal debt.
  • [F5]Transferred to individuals and entities as compensation.
  • [F6]Compensation for loans provided to the Issuer.

Documents

1 file

Issuer

FIRST CAPITAL INTERNATIONAL INC

CIK 0001072842

→
Entity typeother

Related Parties

1
  • filerCIK 0001094507

Filing Metadata

Form type
5
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 4:05 PM ET
Size
67.4 KB
View on SEC.gov