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FORM 4 OMB APPROVAL
------ OMB Number: 3235-0104
Expires December 31, 2001
Estimated average burden
Hours per response 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
/ / CHECK BOX IF NO
LONGER SUBJECT TO Filed pursuant to Section 16(a) of the Securities
SECTION 16. FORM 4 Exchange Act of 1934, Section 17(a) of the
OR FORM 5 OBLIGATION Public Utility Holding Company Act of 1935
MAY CONTINUE. SEE or Section 30(f) of the Investment Company
INSTRUCTION 1(b). Act of 1940
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to
Klem Robert E. Genta Incorporated (Nasdaq: GNTA) Issuer (Check all applicable)
--------------------------------------------- ---------------------------------------------- Director 10% Owner
(Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- ---
c/o Genta Incorporated Number of Reporting Month/Year X Officer (give Other (Specify
Two Connell Drive Person, if an Entity February 2002 ---- title --- below)
--------------------------------------------- (Voluntary) ------------------ below)
(Street) 5. If Amendment, VP & Chief Technical Officer
Berkeley Heights NJ 07922 Date of Original --------------------------------------
--------------------------------------------- (Month/Year)
(City) (State) (Zip) 7. Individual or Joint/Group Filing
------------------ (Check applicable line)
X Form filed by one
---- Reporting Person
Form filed by more than
---- one Reporting Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. 8) End of Month Direct Benefi-
(Month/ (Instr. 3 and 4) (D) or cial
Day/ --------------------------------------- Indirect Owner-
Year) Code V Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr.
4)
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Common Stock, par value $.001 2/01/02 X 6,000 A $0.94375
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Common Stock, par value $.001 2/01/02 S 6,000 D $13.4750
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Common Stock, par value $.001 2/15/02 X 6,000 A $0.94375
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Common Stock, par value $.001 2/15/02 S 6,000 D $12.7550 -0-(1)
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*If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
(Print or Type Response)
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)
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Expiration Securities Deriv-
Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative
Deriv- Day/ 8) or Disposed (Month/Day/ Secur-
ative Year) of (D) Year) ity
Security (Instr. 3, (Instr. 5)
4, and 5) ------------------------------------
Date Expira- Amount or
---------------------------- Exer- tion Title Number of
Code V (A) (D) cisable Date Shares
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Options to acquire $0.94375 2/01/02 X 6,000 3/31/99 5/28/08 Common 6,000 $5,662.50
Common Stock(2) Stock,
par
value
$.001
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Options to acquire $0.94375 2/15/02 X 6,000 3/31/99 5/28/08 Common 6,000 $5,662.50
Common Stock(2) Stock,
par
value
$.001
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1. Title of Derivative 9. Number of 10. Ownership 11. Nature of
Security Derivative Form of Indirect
(Instr. 3) Securities Derivative Beneficial
Beneficially Security: Ownership
Owned at End Direct (D) (Instr. 4)
of Month or Indirect (I)
(Instr. 4) (Instr. 4)
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Options to acquire 625,353 D
Common Stock(2)
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Explanation of Responses:
(1) Does not include 12,000 shares held by the Reporting Person's children's individual retirement accounts.
(2) Issued under the Company's 1998 Employee Stock Incentive Plan.
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Robert E. Klem 3/08/02
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- -------
**Signature of Reporting Person Date
Note. File three copies of this form, one of which must be manually signed. Page 2
If space provided 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 CONTROL NUMBER.