-----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, Uxa6VBqaFsD88SjSjriMgrSkg3bzhntMweGHLHSy4eGXQCjwDaqE7HHdtzGOfGt7 7TCAHoA4OFWwJrbcFc2DMQ== 0001144204-03-006353.txt : 20031021 0001144204-03-006353.hdr.sgml : 20031021 20031021093240 ACCESSION NUMBER: 0001144204-03-006353 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031020 FILED AS OF DATE: 20031021 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: 03948921 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: 03948922 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: 03948918 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: 03948919 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: 03948920 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: ARIES SELECT II LLC CENTRAL INDEX KEY: 0001263318 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03948917 BUSINESS ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125544300 MAIL ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NJ ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES DOMESTIC FUND II L P CENTRAL INDEX KEY: 0001263317 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 03948916 BUSINESS ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125544300 MAIL ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NJ ZIP: 10019 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: 03948923 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 v00212_ex.xml X0201 4 2003-10-20 0 0000880643 GENTA INC DE/ GNTA 0000941841 ROSENWALD LINDSAY A MD PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL 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 PARAMOUNT CAPITAL ASSET MGM 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001007000 ARIES FINANCIAL SERVICES INC PARAMOUNT CAPITAL ASSET MGM 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001017537 ARIES TRUST PARAMOUNT CAPITAL ASSET MGM 787 SEVENTH AVENUE, 48TH FLOOR NEW YORK NY 10152 0 0 1 0 0001263318 ARIES SELECT II LLC C/O PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001263317 ARIES DOMESTIC FUND II L P C/O PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 Common Stock 2003-10-20 4 P 0 5000 10.07 A 17956106 I By Paramount Capital Asset Management, Inc. 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. Following the purchases described in Table 1, Dr. Rosenwald may be deemed to beneficially own 23,116,623 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; 20,000 shares of Common Stock owned and warrants to purchase 3,305,522 Shares owned directly by Dr. Rosenwald. /s/ Lindsay A. Rosenwald, M.D. 2003-10-20 -----END PRIVACY-ENHANCED MESSAGE-----