Filing Details

Accession Number:
0001140361-11-046828
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-23 17:03:56
Reporting Period:
2011-09-08
Filing Date:
2011-09-23
Accepted Time:
2011-09-23 17:03:56
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 2011-09-08 16,778,523 $0.00 3,462,997,557 No 4 C Direct
Common Stock Disposition 2011-09-21 8,000,000 $0.00 3,454,997,557 No 4 S Direct
Common Stock Disposition 2011-09-22 8,778,523 $0.00 3,446,219,034 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C 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 15% Senior Convertible Promissory Note Acquisiton 2011-09-08 0 $0.00 16,778,523 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,758,468 2008-10-07 2013-09-04 No 4 C Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 25,170,499 Indirect By spouse
Footnotes
  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.