-----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, RUjdBWJy6WjNIikTYo/hGictYHMZtibEz3hiyWXo9MuFUqTv8+MdowmNEZaXbaK3 AZNDMCJwlgeiB52L9j6j3w== 0000950005-98-000140.txt : 19980217 0000950005-98-000140.hdr.sgml : 19980217 ACCESSION NUMBER: 0000950005-98-000140 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENTA INCORPORATED /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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42004 FILM NUMBER: 98533890 BUSINESS ADDRESS: STREET 1: 3550 GENERAL ATOMICS COURT CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6194552700 MAIL ADDRESS: STREET 1: 3550 GENERAL ATOMICS COURT CITY: SAN DIEGO STATE: CA ZIP: 92121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INSTITUTIONAL VENTURE PARTNERS IV CENTRAL INDEX KEY: 0000937426 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943070638 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BLDG 2 ,STE 290 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4159265664 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BLD 2 STE 290 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G/A 1 SCHEDULE 13G/A SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. __4___)* Genta, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 37245M108 (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes) (reflecting ownership as of December 31, 1997) Page 1 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 2 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Institutional Venture Partners IV 94-3070638 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER none ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER none ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER none - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON none - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 2 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 3 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Institutional Venture Management IV 94-3070637 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER none ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER none ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER none - ------------ ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON none - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 4 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Samuel D. Colella ###-##-#### - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 490 ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 100 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 490 ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 100 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 590 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 5 of 13 Pages ----------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Reid W. Dennis ###-##-#### - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER none ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER none ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER none - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON none - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 5 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 6 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Mary Jane Elmore ###-##-#### - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 300 ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER none ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 300 ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER none - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 300 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 6 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 7 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Norman A. Fogelsong ###-##-#### - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 700 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER none ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 700 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 700 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 7 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 8 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS T. Peter Thomas ###-##-#### - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER none ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER none ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER none - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON none - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 8 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 37245M108 13G Page 9 of 13 Pages ---------- - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Geoffrey Y. Yang ###-##-#### - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 130 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER none ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 130 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 130 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ---------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 9 of 13 Pages
Item 1. (a) Name of Issuer: Genta, Inc. (b) Address of Issuer's Principal Executive Offices: 3550 General Atomics Court Building 9, 2nd Floor San Diego, CA 92121 Item 2. (a) Name of Persons Filing: Institutional Venture Partners IV ("IVP") Institutional Venture Management IV ("IVM") Samuel D. Colella ("SDC") Reid W. Dennis ("RWD") Mary Jane Elmore ("MJE") Norman A. Fogelsong ("NAF") T. Peter Thomas ("TPT") Geoffrey Y. Yang ("GYY") IVM is the General Partner of IVP. SDC, RWD, MJE, NAF, TPT, & GYY are General Partners of IVM. (b) Address of Principal Business Office or, if None, Residence: 3000 Sand Hill Road Building 2, Suite 290 Menlo Park, CA 94025 (c) Citizenship: IVP & IVM: California SDC, RWD, MJE, NAF, TPT, GYY: United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 37245M108 Item 3. If this statement is filed pursuant to Rules 13d-1(b),or 13d-2(b), check whether the person filing is a: Not applicable Item 4. Ownership See Rows 5 through 11 of cover pages Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |X|. Instruction. Dissolution of a group requires a response to this item. Page 10 of 13 Pages Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of the Group Not applicable Item 9. Notice of Dissolution of Group Not applicable Item 10. Certification [The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b):] By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect.] [EXHIBITS] [A: Joint Filing Statement] Page 11 of 13 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 26, 1998 INSTITUTIONAL VENTURE PARTNERS IV INSTITUTIONAL VENTURE MANAGEMENT IV By its General Partner, Institutional Venture Management IV - -------------------------------- -------------------------------- Samuel D. Colella, General Partner Samuel D. Colella, General Partner - -------------------------------- Samuel D. Colella - -------------------------------- Reid W. Dennis - -------------------------------- Mary Jane Elmore - -------------------------------- Norman A. Fogelsong - -------------------------------- T. Peter Thomas - -------------------------------- Geoffrey Y. Yang Page 12 of 13 Pages EXHIBIT A JOINT FILING STATEMENT Pursuant to Rule 13d-1(f)(1), we, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: January 26, 1998 INSTITUTIONAL VENTURE PARTNERS IV INSTITUTIONAL VENTURE MANAGEMENT IV By its General Partner, Institutional Venture Management IV - -------------------------------- -------------------------------- Samuel D. Colella, General Partner Samuel D. Colella, General Partner - -------------------------------- Samuel D. Colella - -------------------------------- Reid W. Dennis - -------------------------------- Mary Jane Elmore - -------------------------------- Norman A. Fogelsong - -------------------------------- T. Peter Thomas - -------------------------------- Geoffrey Y. Yang Page 13 of 13 Pages -----END PRIVACY-ENHANCED MESSAGE-----