Filing Details
- Accession Number:
- 0001140361-11-001958
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-07 17:14:49
- Reporting Period:
- 2011-01-05
- Filing Date:
- 2011-01-07
- Accepted Time:
- 2011-01-07 17:14:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 880643 | Genta Inc De | GNTA | Biological Products, (No Disgnostic Substances) (2836) | 330326866 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1100843 | Jr P Raymond Warrell | C/O Genta Incorporated 200 Connell Drive Berkeley Heights NJ 07922 | Chairman & Chief Exec Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-01-05 | 4,240,639 | $0.00 | 1,125,717,235 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2011-01-05 | 2,303,744 | $0.00 | 1,128,020,979 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-01-05 | 1,294,543 | $0.02 | 1,126,726,436 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-01-06 | 1,009,201 | $0.02 | 1,125,717,235 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-01-06 | 1,745,819 | $0.02 | 1,123,971,416 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-01-07 | 2,494,820 | $0.02 | 1,121,476,596 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | March 2010 Warrant | Disposition | 2011-01-05 | 4,998,742 | $0.00 | 4,240,639 | $0.00 |
| Common Stock | March 2010 Warrant | Disposition | 2011-01-05 | 2,715,587 | $0.00 | 2,303,744 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 509,350,729 | 2010-03-09 | 2013-03-09 | No | 4 | X | Direct |
| 0 | 2010-03-09 | 2013-03-09 | No | 4 | X | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,284,546 | Indirect | By spouse |
Footnotes
- Includes 4,240,639 shares of common stock held in joint account with Dr. Warrell's spouse, Dr. Itri, 768,817 shares of common stock issuable upon the vesting of currently outstanding restricted stock units, 551,770,303 shares of common stock issuable upon the conversion of Senior Unsecured Convertible Promissory Notes due September 4, 2011, as amended (the Notes), 3,032,500 shares of common stock issuable upon the conversion of Notes held by Dr. Warrell's IRA, 509,350,729 shares of common stock issuable upon the exercise of the March 2010 Warrant, 56,250,980 shares of common stock issuable upon the exercise of the December 2010 Warrant and 303,267 shares of common stock issuable upon the exercise of the December 2010 Warrant held by Dr. Warrell's IRA.
- Includes 280,894 shares of common stock potentially issuable upon the vesting of currently outstanding restricted stock units held by Dr. Itri, 4,548,750 shares of common stock issuable upon the conversion of Notes held by Dr. Itri and 454,902 shares of stock issuable upon the exercise of the December 2010 warrant.
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