-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, G64MFiSENQlBafpAVp+e1BFlF7b+pMZ12HM00FxQRNP3NEYI8OydR6Ko9H1qp3Ug t3r4TUr1M9ApwoB1nsztng== 0001144204-03-005500.txt : 20030910 0001144204-03-005500.hdr.sgml : 20030910 20030910173144 ACCESSION NUMBER: 0001144204-03-005500 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030810 FILED AS OF DATE: 20030910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES SELECT I LLC CENTRAL INDEX KEY: 0001162800 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03890602 BUSINESS ADDRESS: STREET 1: PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES SELECT LTD CENTRAL INDEX KEY: 0001167537 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03890603 BUSINESS ADDRESS: STREET 1: PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES TRUST CENTRAL INDEX KEY: 0001017537 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03890600 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128325700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001007000 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03890604 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324379 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES DOMESTIC FUND L P CENTRAL INDEX KEY: 0001017538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03890601 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128325700 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GENTA INC DE/ CENTRAL INDEX KEY: 0000880643 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 330326866 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO CONNELL DRIVE STREET 2: .. CITY: BERKELEY HEIGHTS STATE: NJ ZIP: 07922 BUSINESS PHONE: (908) 286-9800 MAIL ADDRESS: STREET 1: TWO CONNELL DRIVE STREET 2: .. CITY: BERKELEY HEIGHTS STATE: NJ ZIP: 07922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03890605 BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER NAME: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 4 1 rosen-genta_4ex.xml X0201 4 2003-08-10 0 0000880643 GENTA INC DE/ GNTA 0000941841 ROSENWALD LINDSAY A MD PARAMOUNT CAPITAL ASSET MANGEMENT, INC. 787 SEVENTH AVENUE, 48TH FLOOR NEW YORK NY 10019 0 0 1 0 0001007000 ARIES FINANCIAL SERVICES INC 787 SEVENTH AVENUE 48TH FLOOR NEW YORK NY 10019 0 0 1 0 0001167537 ARIES SELECT LTD PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001162800 ARIES SELECT I LLC PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001017538 ARIES DOMESTIC FUND L P C/O PARAMOUNT CAPITAL ASSET MANAGEMENT 787 SEVENTH AVE, 48TH FLOOR NEW YORK NY 10019 0 0 1 0 0001017537 ARIES TRUST 375 PARK AVENUE NEW YORK NY 10152 0 0 1 0 Common Stock 2003-09-10 4 P 0 5000 15.68 A 21478286 D 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 . 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. Lindsay A. Rosenwald, M.D. Chairman Paramount Capital Asset Management,Inc /s/ Lindsay A. Rosenwald, M.D. 2003-09-10 -----END PRIVACY-ENHANCED MESSAGE-----