-----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, PFa+Z16g3QMC3l5eZ6Cw6VV5FUTVJiWyttNmSrc4DFEPMelQ6Pq/ab7fuZoDGxqY KgtlPhkbMGUqJiQfwcsBQg== 0001144204-04-005968.txt : 20040505 0001144204-04-005968.hdr.sgml : 20040505 20040505160129 ACCESSION NUMBER: 0001144204-04-005968 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040503 FILED AS OF DATE: 20040505 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 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: 04781644 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 L P CENTRAL INDEX KEY: 0001017538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 04781646 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 TRUST CENTRAL INDEX KEY: 0001017537 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 04781647 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 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: 04781649 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: 04781650 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: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19635 FILM NUMBER: 04781651 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 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: 04781652 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 4 1 v03056rosenwald_ex.xml X0202 4 2004-05-03 1 0000880643 GENTA INC DE/ GNTA 0000941841 ROSENWALD LINDSAY A MD PARAMOUNT BIOCAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001167537 ARIES SELECT LTD C/O PARAMOUNT BIOCAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001162800 ARIES SELECT I LLC C/O PARAMOUNT BIOCAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001263318 ARIES SELECT II LLC C/O PARAMOUNT BIOCAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001017537 ARIES TRUST C/O PARAMOUNT BIOCAPITAL ASSET MGM 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001017538 ARIES DOMESTIC FUND L P C/O PARAMOUNT BIOCAPITAL ASSET MGM 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001263317 ARIES DOMESTIC FUND II L P C/O PARAMOUNT BIOCAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 Common Stock 2004-05-03 4 S 0 1501900 5.05 D 2373693 I By Aries Master Fund II, Ltd. Common Stock 2004-05-03 4 S 0 1128700 5.05 D 1747973 I By Aries Domestic Fund, LP Common Stock 2004-05-03 4 S 0 119400 5.05 D 184866 I By Aries Domestic Fund II, LP Common Stock 2004-05-04 4 S 0 3446300 4.92 D 2373693 I By Aries Master Fund II, Ltd Common Stock 2004-05-04 4 S 0 2589800 4.92 D 1747973 I By Aries Domestic Fund, LP Common Stock 2004-05-04 4 S 0 273900 4.92 D 184866 I By Aries Domestic Fund II, LP Common Stock 2004-05-05 4 S 0 513400 4.95 D 2373693 I By Aries Master Fund II, Ltd. Common Stock 2004-05-05 4 S 0 385800 4.95 D 1747973 I By Aries Domestic Fund, LP Common Stock 2004-05-05 4 S 0 40800 4.95 D 184866 I By Aries Domestic Fund II, LP Common Stock 2004-04-22 4 J 0 6267 0.00 D 2373693 I By Aries Master Fund II Common Stock 2004-04-28 4 J 0 159741 0.00 D 2373693 I By Aries Master Fund II Common Stock 2004-04-22 4 J 0 43673 0.00 D 1747973 I By Aries Domestic Fund, LP Common Stock 2004-04-28 4 J 0 1107 0.00 D 1747973 I By Aries Domestic Fund, LP Common Stock 2004-04-22 4 J 0 37225 0.00 D 184866 I By Aries Domestic Fund II, LP Dr. Rosenwald is chairman and sole stockholder of Paramount BioCapital 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 comp any (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 any. The transactions reported herein reflect a pro rata in-kind dividend to certain stockholders in AMF2, ADF1 and ADF2 as well as certain open market transactions. Following the transactions described above, the Reporting Person is no longer subject to Section 16 reporting requirements. Lindsay A. Rosenwald, M.D. Chairman and Chief Executive Officer Paramount BioCapital Asset Management,Inc. /s/ Lindsay Rosenwald 2004-05-04 -----END PRIVACY-ENHANCED MESSAGE-----