OMB APPROVAL
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
UNITED STATES
|
OMB Number: 3225-0101
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
SECURITIES AND EXCHANGE COMMISSION
|
Expires : February 28, 2014
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Washington, D.C. 20549
|
Estimated average burden
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
hours per response . . . . 1.0
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
FORM 144
|
SEC USE ONLY
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
DOCUMENT SEQUENCE NO.
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
NOTICE OF PROPOSED SALE OF SECURITIES
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
|
CUSIP NUMBER
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
ATTENTION:
|
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute a sale
|
WORK LOCATION
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
or executing a sale directly with a market maker.
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
1 (a) NAME OF ISSUER (Please type or print)
|
(b) IRS IDENT. NO.
|
(c) S.E.C. FILE NO.
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Gentium S.p.A.
|
N/A
|
000-51341
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
1 (d) ADDRESS OF ISSUER
|
STREET
|
CITY STATE ZIP CODE
|
(e) TELEPHONE NO.
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
AREA CODE
|
NUMBER
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Piazza XX Settembre 2, 22079 Villa Guardia (Como), Italy
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
|
(b) SOCIAL SECURITY NO. OR IRS IDENT. NO.
|
(c) RELATIONSHIP TO ISSUER
|
(d) ADDRESS
|
STREET
|
CITY STATE ZIP CODE
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Laura Iris Ferro
|
Director
|
Piazzetta Brera 24/6, Milano, Italy
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
INSTRUCTION:
|
The person filing this notice should contact the issuer to obtain the IRS. Identification Number and the S.E.C. File Number.
|
3(a)
|
(b)
|
SEC USE ONLY
|
(c)
|
(d)
|
(e)
|
(f)
|
(g)
|
Title of the
Class of
Securities
To Be Sold
|
Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities
|
Broker-Dealer
File Number
|
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
|
Aggregate
Market
Value
(See instr. 3(d))
|
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
|
Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
|
Name of Each
Securities
Exchange
(See inst. 3(g))
|
ADS
|
Wedbush Securities Inc.
One Bush Street, 17th Floor
San Francisco CA 94104
|
100,000
|
$849,000
|
15,173,133
|
6/12/13
|
NASDAQ
|
|
1. | (a) | Name of issuer | 3. | (a) | Title of the class of securities to be sold | |
(b) | Issuer’s I.R.S. Identification Number | (b) | Name and address of each broker through whom the securities are intended to be sold | |||
(c) | Issuer’s S.E.C. file number, if any | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | |||
(d) | Issuer’s address, including zip code | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice. | |||
(e) | Issuer’s telephone number, including area code | (e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown | |||
by the most recent report or statement published by the issuer | ||||||
2. | (a) | Name of person for whose account the securities are to be sold | (f) | Approximate date on which the securities are to be sold | ||
(b) | Such person’s Social Security or I.R.S. identification number | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold | |||
(c) | Such person’s relationship to the issuer (e.g., officer, director, 10% | |||||
stockholder, or member of immediate family of any of the foregoing)
|
||||||
(d) | Such person’s address, including zip code SEC 1147 (02-08) |
Title of
the Class
|
Date You
Acquired
|
Nature of Acquisition Transaction
|
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
|
Amount of
Securities Acquired
|
Date of
Payment
|
Nature of Payment
|
ADS
ADS
|
7/29/10
2/17/11
|
Purchased
Donation
|
F3F (formerly FinSirton S.p.A.
Olimpia Ceriani (Mother)
acquired 7/29/10
|
60,000
40,000
|
7/29/10
2/17/11
|
cash
n/a
|
INSTRUCTIONS:
|
If the securities were purchased and full payment therefore was not made in cash at the
time of purchase, explain in the table or in a note thereto the nature of the consideration
given. If the consideration consisted of any note or other obligation, or if payment was
made in installments describe the arrangement and state when the note or other obligation
was discharged in full or the last installment paid.
|
Name and Address of Seller
|
Title of Securities Sold
|
Date of Sale
|
Amount of
Securities Sold
|
Gross Proceeds
|
NONE
|
INSTRUCTIONS: | ATTENTION: | |
See the definition of “person” in paragraph (a) of Rule 144,. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
|
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.
|
May 31, 2013 | /s/ Laura Iris Ferro |
DATE OF NOTICE | (SIGNATURE) |
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION IF RELYING ON RULE 10B5-1 |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001).
|