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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Director's Stock Option (right to buy) | $ 363 | 08/26/2009 | D | 80 | (3) | 09/15/2015 | Common Stock | 80 | (2) | 0 | D | ||||
Director's Stock Option (right to buy) | $ 639 | 08/26/2009 | D | 67 | (3) | 04/15/2016 | Common Stock | 67 | (2) | 0 | D | ||||
Director's Stock Option (right to buy) | $ 90 | 08/26/2009 | D | 67 | (3) | 07/11/2017 | Common Stock | 67 | (2) | 0 | D | ||||
Diretor's Stock Option (right to buy) | $ 12.5 | 08/26/2009 | D | 67 | (3) | 10/06/2018 | Common Stock | 67 | (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Parios Christopher P 200 CONNELL DRIVE BERKELEY HEIGHTS, NJ 07922 |
X |
/s/Christopher P. Parios | 09/11/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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 restricted stock units that were issued on August 26, 2009 vested on stockholder approval of the Genta Incorporate 2009 Stock Incentive Plan and were issued to the reporting person on September 8, 2009. |
(2) | On August 26, 2009, the Issuer canceled, pursuant to the issuer's option exchange program (i) 80 options granted to the reporting person on September 15, 2005, (ii) 67 options granted to the reporting person on April 5, 2006 (iii) 67 options granted to the reporting person on July 11, 2007 and (iv) 67 options granted to the reporting person on October 6, 2008. In exchange for these options, the reporting person received 695,658 shares of restricted stock units |
(3) | The canceled options automatically vested on the date of grant. See (2) above for respective grant dates |