4//SEC Filing
ARIES SELECT I LLC 4
Accession 0001144204-03-005500
CIK 0000880643other
Filed
Sep 9, 8:00 PM ET
Accepted
Sep 10, 5:31 PM ET
Size
12.9 KB
Accession
0001144204-03-005500
Insider Transaction Report
Form 4
GENTA INC DE/GNTA
ROSENWALD LINDSAY A MD
10% Owner
Transactions
- Purchase
Common Stock
2003-09-10$15.68/sh+5,000$78,400→ 21,478,286 total
ARIES FINANCIAL SERVICES INC
10% Owner
Transactions
- Purchase
Common Stock
2003-09-10$15.68/sh+5,000$78,400→ 21,478,286 total
ARIES TRUST
10% Owner
Transactions
- Purchase
Common Stock
2003-09-10$15.68/sh+5,000$78,400→ 21,478,286 total
ARIES DOMESTIC FUND L P
10% Owner
Transactions
- Purchase
Common Stock
2003-09-10$15.68/sh+5,000$78,400→ 21,478,286 total
ARIES SELECT I LLC
10% Owner
Transactions
- Purchase
Common Stock
2003-09-10$15.68/sh+5,000$78,400→ 21,478,286 total
ARIES SELECT LTD
10% Owner
Transactions
- Purchase
Common Stock
2003-09-10$15.68/sh+5,000$78,400→ 21,478,286 total
Footnotes (2)
- [F1]Dr. Rosenwald is chairman and sole stockholder of Paramount Capital Asset Management, Inc. ("PCAM"). PCAM is the managing member of Aries Select I, LLC ("AS1") and Aries Select II, LLC ("AS2"), each a Delaware LLC, the general partner of the Aries Domestic Fund, L.P. ("ADF1") and Aries Domestic Fund II, L.P. ("ADF2"), each a Delaware limited partnership, and the investment manager of Aries Select, Ltd. ("Aries Select") and the Aries Master Fund II ("AMF2"), each a Cayman Island exempted company (such entities referred to above, the "Aries Funds"). Dr. Rosenwald and PCAM may be deemed to beneficially own the securities of the Issuer owned by the Aries Funds under Rule 16a-1(a)(1) of the Securities Exchange Act of 1934. Each of Dr. Rosenwald and PCAM disclaim beneficial ownership of the securities held by the Aries Funds under Rule 16a-1(a)(2), except to the extent of its pecuniary interest therein, if a ny.
- [F2]Following the purchases described in Table 1, Dr. Rosenwald may be deemed to beneficially own 26,638,572 shares of Common Stock ("Shares") as follows: 10,624,982 Shares owned by Aries Select, including 1,169,278 Shares issuable upon conversion of 158,081 shares of Series A Convertible Preferred Stock; 5,096,889 Shares owned by AS1, including 568,163 Shares issuable upon conversion of 76,813 shares of Series A Convertible Preferred Stock; 1,137,419 Shares owned by AS2, including 117,645 Shares issuable upon conversion of 15,905 shares of Series A Convertible Preferred Stock; 3,588,178 Shares owned by AMF2; 2,496,288 Shares owned by ADF1; 374,295 Shares owned by ADF2; 10,000 Shares and warrants to purchase 3,305,522 Shares owned directly by Dr. Rosenwald.
Documents
Issuer
GENTA INC DE/
CIK 0000880643
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001162800
Filing Metadata
- Form type
- 4
- Filed
- Sep 9, 8:00 PM ET
- Accepted
- Sep 10, 5:31 PM ET
- Size
- 12.9 KB