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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 | ||||||||
Restricted Stock Unit (3) | $ 0.41 | 04/11/2008 | A | 65,000 | 01/15/2009 | 04/11/2018 | Common Stock Par Value $.001 | 65,000 | $ 0 | 65,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sanders Walter Lloyd C/O GENTA INCORPORATED 200 CONNELL DRIVE BERKELEY HEIGHTS, NJ 07922 |
Senior VP & COO |
Walter Lloyd Sanders | 04/15/2008 | |
**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) | Mr. Sanders and his daughter held 53 shares of Genta common stock in a joint account prior to January 3, 2007. On January 3, 2007, these shares were transferred to an account solely in Mr. Sanders' daughter's name. Mr. Sanders disclaims any beneficial ownership of these shares. |
(2) | Mr. Sanders and his son held 51 shares of Genta common stock in a joint account prior to January 3, 2007. On January 3, 2007, these shares were transferred to an account solely in Mr. Sanders' son's name. Mr. Sanders disclaims any beneficial ownership of these shares. |
(3) | The Restricted Stock Unit was granted on April 11, 2008 pursuant to the Company's 1998 Stock Plan, as amended, and vests in two equal tranches of 32,500 shares on January 15, 2009 and 32,500 shares on June 30,2009. |