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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
15% Senior Convertible Promissory Note | $ 0.0015 | 09/08/2011 | C | $ 25,000 | 10/07/2008 | 09/04/2013 | Common Stock | 16,778,523 | $ 0 | 1,758,468 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WARRELL RAYMOND P JR C/O GENTA INCORPORATED 200 CONNELL DRIVE BERKELEY HEIGHTS, NJ 07922 |
X | Chairman & Chief Exec Officer |
Raymond P. Warrell Jr. M.D. | 09/23/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 16,778,523 shares of common stock held jointly with Dr. Warrell's spouse, Dr. Itri, 9,237,920 shares potentially issuable upon the vesting of outstanding restricted stock units held by Dr. Warrell, 1,180,180,147 shares of common stock issuable upon the conversion of Senior Convertible Promissory Notes due Sept. 4, 2013, held in joint account, 7,010,765 shares of common stock issuable upon the conversion of Notes held by Dr. Warrell's IRA, 924,362,094 shares of common stock issuable upon the exercise of March 2010 Warrants held in joint account, 120,807,405 shares of common stock issuable upon the exercise of December 2010 Warrants held in joint account, 1,196,958,664 shares of common stock issuable upon the exercise of September 2011 Warrants held in joint account, 651,274 shares of common stock issuable upon the exercise of December 2010 Warrants held by Dr. Warrell's IRA and 7,010,765 issuable upon the exercise of September 2011 Warrants held by Dr. Warrell's IRA. |
(2) | Includes 3,161,191 shares of common stock potentially issuable upon the vesting of currently outstanding restricted stock units held by Dr. Itri, 10,516,174 shares of common stock issuable upon the conversion of Senior Convertible Promissory Notes due September 4, 2013, held by Dr. Itri's IRA, 976,960 shares of common stock issuable upon the exercise of December 2010 Warrants held by Dr. Itri's IRA and 10,516,174 shares of common stock issuable upon the exercise of September 2011 Warrants. |