-------------------------------------
OMB APPROVAL
------------
OMB Number: 3235-0362
Expires: Pending
Estimated average burden
Hours per response 1.0
-------------------------------------
U.S. SECURITY AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 5
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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(f) OF THE INVESTMENT COMPANY ACT OF 1940
[_] Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
[_] Form 3 Holdings Reported
[X] Form 4 Transactions Reported
(Print or Type Response)
--------------------------------------------------------------------------------
1. Name and Address of Reporting Person*
Rogers Mark C.
--------------------------------------------------------------------------------
(Last) (First) (Middle)
c/o Genta Incorporated
Two Connell Drive
--------------------------------------------------------------------------------
(Street)
Berkeley Heights NJ 07922
--------------------------------------------------------------------------------
(City) (State) (Zip)
--------------------------------------------------------------------------------
2. Issuer Name and Ticker or Trading Symbol
Genta Incorporated (Nasdaq: GNTA)
--------------------------------------------------------------------------------
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
--------------------------------------------------------------------------------
4. Statement for Month/Day/Year
December 31, 2001
--------------------------------------------------------------------------------
5. If Amendment, Date of Original (Month/Year)
--------------------------------------------------------------------------------
6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [_] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
--------------------------------------------------------------------------------
7. Individual or Joint/Group Filing
(Check Applicable Line)
[X] Form filed by One Reporting Person
[_] Form filed by More than One Reporting Person
--------------------------------------------------------------------------------
================================================================================
Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
================================================================================
5. 6.
4. Amount of Owner-
Securities Acquired (A) or Securities ship
Disposed of (D) Beneficially From 7.
(Instr. 3, 4 and 5) Owned at End Direct Nature of
2. 3. ----------------------------- of Issuer's (D) or Indirect
1. Transaction Transaction (A) Fiscal Year Indirect Beneficial
Title of Security Date (Month/ Code Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4)
Code V
------------------------------------------------------------------------------------------------------------------------------------
Common Stock, par value $.001
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction
5(b)(v).
FORM 5 (Continued)
POTENTIAL PERSONS WHO ARE TO 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.
SEC1474 (3-99)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
====================================================================================================================================
10.
9. Owner-
Number ship
2. of of
Conver- 4. 5. 7. Deriv- Deriv- 11.
sion Trans- Number of Title and Amount ative ative Nature
or action Derivative 6. of Underlying 8. Bene- Secur- of
Exer- Code Securities Date Securities Price ficially ity: In-
cise 3. (Instr. Acquired (A) Exercisable and (Instr. 3 and 4) of Owned at Direct direct
Price Trans- 8) or Disposed Expiration Date ---------------- Deriv- End of (D) or Bene-
1. of action -------- of (D) (Month/Day/Year) Amount ative Issuer's In- ficial
Title of Deriv- Date C (Instr. 3, ---------------- of Secur- Fiscal direct Owner-
Derivative ative (Month/ o 4 and 5) Date Expira- Number ity Year (I) ship
Security Secur- Day/ d ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) e V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
------------------------------------------------------------------------------------------------------------------------------------
Options to acquire $2.4897 10/28/99 A5 10/28/99 10/28/09 Common 750,000
Common Stock (1) Stock,
par
value
$.001
------------------------------------------------------------------------------------------------------------------------------------
Options to acquire $8.656 5/9/00 A5 5/9/01 5/9/10 Common 100,000
Common Stock (2) Stock,
par
value
$.001
------------------------------------------------------------------------------------------------------------------------------------
Options to acquire $8.57 9/21/01 A 9/21/01 9/21/11 Common 6,667
Common Stock (2) Stock,
par
value
$.001
------------------------------------------------------------------------------------------------------------------------------------
Options to acquire $14.15 12/13/01 A 12/13/01 12/13/11 Common 6,667 863,334 D
Common Stock (2) Stock,
par
value
$.001
====================================================================================================================================
Explanation of Responses
(1) These options were granted upon election as a Director of Genta
Incorporated. These options are fully vested.
(2) These options were granted upon attendance to Genta Incorporated Board of
Directors meetings. These options are fully vested.
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
/s/ Mark C. Rogers February 13, 2002
--------------------------------------------- -----------------------
**Signature of Reporting Person Date
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, See Instruction 6 for procedure
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED
IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY
VALID OMB NUMBER.