4//SEC Filing
ARIES SELECT I LLC 4
Accession 0001144204-03-006098
CIK 0000880643other
Filed
Oct 5, 8:00 PM ET
Accepted
Oct 6, 4:59 PM ET
Size
22.1 KB
Accession
0001144204-03-006098
Insider Transaction Report
Form 4
GENTA INC DE/GNTA
ROSENWALD LINDSAY A MD
10% Owner
Transactions
- Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC) - Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP) - Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP)
ARIES SELECT LTD
10% Owner
Transactions
- Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC) - Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP) - Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP) - Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC)
ARIES SELECT I LLC
10% Owner
Transactions
- Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC) - Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC) - Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP) - Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP)
ARIES TRUST
10% Owner
Transactions
- Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC) - Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP) - Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP)
ARIES SELECT II LLC
10% Owner
Transactions
- Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC) - Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP) - Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC)
ARIES DOMESTIC FUND L P
10% Owner
Transactions
- Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP) - Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC) - Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP)
ARIES FINANCIAL SERVICES INC
10% Owner
Transactions
- Other
Common Stock
2003-10-03+211,807→ 586,102 total(indirect: By Aries Domestic Fund II, LP) - Other
Common Stock
2003-10-03−4,726,609→ 4,729,299 total(indirect: By Aries Select, Ltd.) - Other
Common Stock
2003-10-03+2,209,629→ 5,797,807 total(indirect: By Aries Master Fund II) - Other
Common Stock
2003-10-03−2,267,146→ 2,261,680 total(indirect: By LLC) - Other
Common Stock
2003-10-03+1,551,294→ 4,047,582 total(indirect: By Aries Domestic Fund, LP) - Other
Common Stock
2003-10-03−506,245→ 513,546 total(indirect: By LLC)
Footnotes (3)
- [F1]Dr. Rosenwald is chairman and sole stockholder of Paramount Capital Asset Management, Inc. ("PCAM"). PCAM is the managing member of 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, i f any.
- [F2]On October 3, 2003, Aries Select effected an in-kind, pro rata dividend (the "Dividend") of 4,726,609 shares of Common Stock of the Issuer ("Shares") to its shareholders. In connection with the Dividend, AMF2, which holds 46.7% of Aries Select, was issued 2,209,629 Shares. Similarly, AS1 effected an in-kind, pro rata distribution of 2,267,146 Shares to its members. In connection with such in-kind transfers, ADF1, which holds 68.4% of the LLC interests of AS1, was issued 1,551,294 Shares. In addition, AS2 effected an in-kind, pro rata distribution of 506,245 Shares to its members. In connection with such in-kind transfers, ADF2, which holds 41.8% of the LLC interests of AS2, was issued 211,807 Shares.
- [F3]The Dividend and in-kind pro rata distributions resulted in a net reduction in the beneficial ownership of Dr. Rosenwald and PCAM of 3,527,269 Shares. Following the transfers referred to above, Dr. Rosenwald may be deemed to beneficially own 23,111,623 Shares as follows: 5,898,577 Shares owned by Aries Select, including 1,169,278 Shares issuable upon conversion of 158,081 shares of Series A Convertible Preferred Stock; 2,829,843 Shares owned by AS1, including 568,163 Shares issuable upon conversion of 76,813 shares of Series A Convertible Preferred Stock; 631,191 Shares owned by AS2, including 117,645 Shares issuable upon conversion of 15,905 shares of Series A Convertible Preferred Stock; 5,797,807 Shares owned by AMF2; 4,047,582 Shares owned by ADF1; 586,102 Shares owned by ADF2; 15,000 shares of Common Stock owned 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
- Oct 5, 8:00 PM ET
- Accepted
- Oct 6, 4:59 PM ET
- Size
- 22.1 KB