4//SEC Filing
ITRI LORETTTA M 4
Accession 0001140361-09-020730
CIK 0000880643other
Filed
Sep 10, 8:00 PM ET
Accepted
Sep 11, 5:12 PM ET
Size
28.1 KB
Accession
0001140361-09-020730
Insider Transaction Report
Form 4
GENTA INC DE/GETA
ITRI LORETTTA M
Pres. & CMO
Transactions
- Disposition to Issuer
Employee Stock Option (right to buy)
2009-08-31−1,667→ 0 totalExercise: $477.00Exp: 2016-07-27→ Common Stock (1,667 underlying) - Disposition to Issuer
Employee stock option (right to buy)
2009-08-31−1,000→ 0 totalExercise: $1719.00Exp: 2011-03-28→ Common Stock (1,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2009-08-31−167→ 0 totalExercise: $3096.00Exp: 2014-01-04→ Common Stock (167 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2009-08-31−100→ 0 totalExercise: $2358.30Exp: 2013-01-28→ Common Stock (100 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2009-08-31−1,000→ 0 totalExercise: $3585.00Exp: 2013-08-05→ Common Stock (1,000 underlying) - Award
Common Stock
2009-08-31+9,071,990→ 12,315,425 total - Disposition to Issuer
Employee Stock Option (right to bu)
2009-08-31−133→ 0 totalExercise: $4110.00Exp: 2012-01-25→ Common Stock (133 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2009-08-31−166→ 0 totalExercise: $615.00Exp: 2016-01-23→ Common Stock (166 underlying)
Holdings
- 48,176,670(indirect: By Spouse)
Common Stock
Footnotes (6)
- [F1]On September 4, 2009, the Issuer filed Form S-8 for the Genta Incorporated 2009 Stock Incentive Plan, registering 83,478,929 shares of Genta Incorporated Common Stock par value $0.001. The shares underlying the restricted stock units that vested were issued to the reporting person on or after September 4, 2009, when the Form S-8 was filed.
- [F2]On August 31, 2009, the Issuer cancelled, pursuant to the issuer's option exchange program, (i) 1,000 options granted to the reporting person on 3/28/01, (ii) 133 options granted to the reporting person on 1/25/02, (iii) 100 options granted on 1/28/03, (iv) 1,000 options granted on 8/5/03, (v) 167 options granted on 1/5/04, (vi) 100 options granted on 1/7/05,(vii) 166 options granted on 1/23/06, (viii) 1,667 options granted on 7/27/06 and (ix) 170 options granted on 1/12/07. In exchange for these cancelled options, the reporting person received 9,071,990 shares of restricted stock units pursuant to the Issuer's 2009 Stock Incentive Plan.
- [F3]These restricted stock units will vest as follows: 453,600 shares vest on the grant date, 1,360,798 shares vest in thirteen equal portions on quarterly anniversaries from the grant date, so as to be fully vested on December 31, 2012, 3,628,796 shares vest on the date Genasense(R) has been approved for marketing by the US Food and Drug Administration and 3,628,796 shares will vest on the date that Genasense(R) has been approved for marketing by the European Medicines Agency.
- [F4]Pursuant to the terms of the Genta Incorporated 1998 Stock Incentive Plan, as amended and restated, the canceled options vested in four substantially equal annual installments. See (2) for the respective grant dates.
- [F5]Includes 3,114,224 shares of common stock held in the reporting person's IRA, 8,115 shares of common stock held in a joint account with the reporting person's spouse, Dr. Warrell, 121,096 shares of common stock issuable upon conversion of the Senior Secured convertible Promissory Notes due June 9, 2010 (the "Notes") and 9,071,990 shares of common stock underlying the restricted stock units acquired on 8/31/09 as set forth on Table I hereof.
- [F6]Includes 2,077,759 shares of common stock held in the reporting person's spouse, Dr. Warrell's IRA, of which the reporting person is the beneficiary, 19,624,232 shares of common stock issuable upon the conversion of the Notes by Dr. Warrell and 26,474,679 shares of common stock underlying the restricted stock units acquired by Dr. Warrell on 8/31/09.
Documents
Issuer
GENTA INC DE/
CIK 0000880643
Entity typeother
Related Parties
1- filerCIK 0001137918
Filing Metadata
- Form type
- 4
- Filed
- Sep 10, 8:00 PM ET
- Accepted
- Sep 11, 5:12 PM ET
- Size
- 28.1 KB