Statement of Changes in Beneficial Ownership (4)
October 22 2018 - 12:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Perlysky Dov
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2. Issuer Name
and
Ticker or Trading Symbol
ENZO BIOCHEM INC
[
ENZ
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ENZO BIOCHEM, INC., 527 MADISON AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/18/2018
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. 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 I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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10/18/2018
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P
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10000
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A
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$3.50
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266235
(1)
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D
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Common Stock
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523457
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I
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See footnotes
(2)
(3)
(4)
(5)
(6)
(7)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Includes 218,816 vested options.
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(2)
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Includes 45,000 Common Stock owned by Sky Ventures LLC, whose manager is Dov Perlysky and of which Dov Perlysky disclaims beneficial ownership.
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(3)
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Includes 109,237 Common Stock owned by RSD 2010 Enzo GRAT, whose trustee is Dov Perlysky and of which Dov Perlysky disclaims beneficial ownership.
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(4)
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Includes 325,875 Common Stock held by Kinder Investment LP, an entity of which Dov Perlysky is the Managing Member of the General Partner and of which Dov Perlysky disclaims beneficial ownership.
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(5)
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Includes 6,981 Common Stock held by Krovim LLC, an entity of which Dov Perlysky is the Managing Member of the General Partner, and children of Dov Perlysky own a 27.54% interest, and of which Dov Perlysky disclaims beneficial ownership.
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(6)
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Includes 3,225 Common Stock held by MidAtlantic Capital Lending LLC, an entity of which Dov Perlysky owns 1% and of which Dov Perlysky disclaims beneficial ownership.
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(7)
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Includes 33,139 Common Stock held by Laya Perlysky, of which Dov Perlysky disclaims beneficial ownership and of which Dov Perlysky disclaims beneficial ownership.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Perlysky Dov
C/O ENZO BIOCHEM, INC.
527 MADISON AVENUE
NEW YORK, NY 10022
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X
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Signatures
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/s/ Dov Perlysky
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10/22/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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