-----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, DAg+2245OqgJUjepqFa4b2B/wfP/U4AkD1ckYr9dLM5MIk8+YgUVd2Tas/NhromE FVi4b8tgXd5PN517PCjc9g== 0000912057-02-007893.txt : 20020414 0000912057-02-007893.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-007893 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020227 COMPANY DATA: COMPANY CONFORMED NAME: GUAZZONI BRUNO CENTRAL INDEX KEY: 0001123840 OWNER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: ZANETT SECURITIES CORP STREET 2: 135 EAST 57TH ST 15TH FL CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: ZANETT SECURITIES CORP STREET 2: 135 EAST 57TH ST 15TH FL CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLANET ZANETT INC CENTRAL INDEX KEY: 0001133872 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 564389547 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32315 FILM NUMBER: 02560456 BUSINESS ADDRESS: STREET 1: 135 E 57TH STREET STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127595700 MAIL ADDRESS: STREET 1: 135 E 57TH ST 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 5 1 a2072149z5.txt FORM 5
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 5 WASHINGTON, D.C. 20549 - -------- / / Check box if no longer ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP subject to Section 16. Form 4 or 5 obli- Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, gations may continue. Section 17(a) of the Public Utility Holding Company Act of 1935 or See Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 / / Form 3 Holdings Reported /X/ Form 4 Transactions Reported - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Planet Zanett Inc., ZANE Director X 10% Owner ---- ---- - ------------------------------------------------------------------------------------------- Officer (give Other (specify (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- title ---- below) Number of Reporting Month/Year below) Guazzoni Bruno Person, if an Entity 2001 (Voluntary) -------------------------- - ------------------------------------------- ------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check applicable line) 135 East 57th Street, 15th Floor (Month/Year) X Form filed by one Reporting Person - ------------------------------------------- --- (City) (State) (Zip) Form filed by more than one Reporting Person New York, New York 10022 --- - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ End of (D) or (Instr. 4) Day/ ------------------------------ Issuer's Indirect Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/2/01 P 1,500 A 3.38 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/3/01 P 1,300 A 3.56 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/4/01 P 500 A 3.69 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/5/01 P 2,122 A 3.75 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/8/01 P 2,100 A 4.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/9/01 P 1,300 A 3.69 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/10/01 P 1,950 A 3.88 6,330,103 D - --------------------------------------------------------------------------------------------------------------------------------
1 FORM 5 (CONTINUED)
- ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ End of (D) or (Instr. 4) Day/ ------------------------------ Issuer's Indirect Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/12/01 P 2,000 A 4.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/18/01 P 500 A 3.88 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/19/01 P 2,500 A 3.69 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/22/01 P 2,000 A 3.25 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/23/01 P 200 A 3.25 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/7/01 P 200 A 3.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/9/01 P 2,000 A 3.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/13/01 P 2,500 A 3.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/14/01 P 600 A 3.07 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/15/01 P 1,000 A 3.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/16/01 P 1,400 A 3.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/20/01 P 400 A 3.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/21/01 P 500 A 3.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/22/01 P 2,100 A 2.91 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/23/01 P 2,600 A 2.79 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/27/01 P 700 A 2.75 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/28/01 P 2,200 A 2.66 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/1/01 P 100 A 2.44 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/2/01 P 1,500 A 2.52 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/5/01 P 1,000 A 2.48 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/6/01 P 800 A 2.49 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/7/01 P 3,800 A 2.48 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/8/01 P 1,500 A 2.48 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/9/01 P 2,100 A 2.45 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/13/01 P 1,100 A 2.45 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/16/01 P 900 A 2.41 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/19/01 P 500 A 2.49 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/22/01 P 325 A 2.53 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/26/01 P 5,500 A 2.34 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/27/01 P 2,000 A 2.42 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/30/01 P 4,000 A 2.29 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/2/01 P 3,000 A 1.96 6,330,103 D - --------------------------------------------------------------------------------------------------------------------------------
2 FORM 5 (CONTINUED)
- ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ End of (D) or (Instr. 4) Day/ ------------------------------ Issuer's Indirect Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/3/01 P 4,300 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/4/01 P 441 A 2.09 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/5/01 P 1,100 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/6/01 P 500 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/9/01 P 2,000 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/10/01 P 500 A 2.08 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/16/01 P 2,400 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/24/01 P 883 A 2.05 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 5/2/01 P 383 A 2.10 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 5/2/01 P 383 A 2.10 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 5/9/01 P 1,333 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 5/29/01 P 2,890 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 5/30/01 P 900 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/7/01 P 466 A 4.08 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/11/01 P 2,500 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/13/01 P 1,400 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/18/01 P 5,000 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/26/01 P 850 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/28/01 P 1,000 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/29/01 P 500 A 2.08 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 7/20/01 P 2,300 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 7/25/01 P 500 A 2.08 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/13/01 P 1,800 A 2.04 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/31/01 P 15,038 A 2.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 9/5/01 P 1,200 A 2.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 9/10/01 P 6,900 A 2.00 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 9/18/01 P 1,800 A 2.15 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 9/24/01 P 5,100 A 2.14 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 9/26/01 P 4,800 A 2.12 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 9/28/01 P 3,500 A 2.12 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 10/1/01 P 8,000 A 2.12 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 10/5/01 P 1,700 A 2.02 6,330,103 D - --------------------------------------------------------------------------------------------------------------------------------
3 FORM 5 (CONTINUED)
- ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ End of (D) or (Instr. 4) Day/ ------------------------------ Issuer's Indirect Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 10/29/01 P 5,883 A 2.02 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/21/01 P 3,443 A 2.02 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/21/01 J(1) 269,443 A (1) 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/21/01 J(1) 548,050 A (1) 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/26/01 P 2,000 A 2.30 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/29/01 P 1,700 A 2.02 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/30/01 P 2,200 A 2.28 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/11/01 P 1,800 A 2.41 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/17/01 P 500 A 2.37 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/18/01 P 1,700 A 2.13 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/20/01 P 500 A 2.15 6,330,103 D - -------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/21/01 P 500 A 2.15 6,330,103 D - --------------------------------------------------------------------------------------------------------------------------------
* If the form is filed by more than one Reporting Person, See Instruction 4(b)(v). (1) Seven (7) Class A units of Holdings Investments, LLC, beneficially owned by Bruno Guazzoni were exchanged for 269,443 shares of Common Stock of Planet Zanett Inc., beneficially owned by Holdings Investments, LLC (the "Redemption"). In addition, Mr. Guazzoni purchased 548,050 shares of Common Stock of Planet Zanett Inc. from Holdings Investments, LLC for $550,000 in cash (the "Purchase"). The Purchase and the Redemption were effected pursuant to a Redemption and Stock Purchase Agreement by and between Holdings Investments, LLC and Mr. Guazzoni. 4
FORM 5 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- (Instr. 3) sion of action action Derivative cisable and Exercise Date Code Securities Ac- Expiration Price of (Month/ (Instr. 8) quired (A) or Date Deriv- Day/ Disposed of (Month/Day/ ative Year) (D) Year) Security (Instr. 3, 4, and 5) -------------------- Date Expir- ---------------------- Exer- ation cisable Date (A) (D) - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na- lying Securities of of Deriv- ship ture of (Instr. 3 and 4) Deriv- ative of Indirect ative Secur- Deriv- Bene- Secur- ities ative ficial ity Bene- Secur- Owner- (Instr. ficially ity: ship 5) Owned Direct (Instr. 4) - ------------------------------------ at End (D) of Year or In- Amount or (Instr. 4) direct Title Number of (I) Shares (Instr. 4) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: /s/ Bruno Guazzoni 2/26/02 ----------------------------------------------- **Intentional misstatements or omissions of facts constitute Bruno Guazzoni Date 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.
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