Statement of Ownership (sc 13g)
February 14 2019 - 10:27AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Enzo Biochem Inc.
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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294100102
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(CUSIP Number)
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December 31, 2018
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(Date of Event Which Requires Filing of this Statement)
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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X
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Rule 13d-1(b)
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Rule 13d-1(c)
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Rule 13d-1(d)
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*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).
Page 1 of 9
1
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NAME OF REPORTING PERSON
Manulife Financial Corporation
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A
GROUP*
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(a)
☐
(b)
☐
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N/A
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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5
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SOLE VOTING POWER
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-0-
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6
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SHARED VOTING POWER
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-0-
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7
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SOLE DISPOSITIVE POWER
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-0-
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8
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SHARED DISPOSITIVE POWER
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-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
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None, except through its indirect, wholly-owned subsidiaries, Manulife Asset Management (US) LLC and Manulife
Asset Management Limited.
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES
*
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N/A
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN
ROW 9
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See line 9 above.
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12
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TYPE OF REPORTING PERSON
*
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HC
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*SEE
INSTRUCTIONS
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Page 2 of 9
1
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NAME OF REPORTING PERSON
Manulife Asset Management (US) LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A
GROUP*
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(a)
☐
(b)
☐
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N/A
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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5
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SOLE VOTING POWER
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2,932,841
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6
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SHARED VOTING POWER
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-0-
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7
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SOLE DISPOSITIVE POWER
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2,932,841
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8
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SHARED DISPOSITIVE POWER
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-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
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2,932,841
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES
*
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N/A
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN
ROW 9
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6.21%
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12
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TYPE OF REPORTING PERSON
*
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IA
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*SEE
INSTRUCTIONS
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Page 3 of 9
1
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NAME OF REPORTING PERSON
Manulife Asset Management Limited
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A
GROUP*
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(a)
☐
(b)
☐
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N/A
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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5
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SOLE VOTING POWER
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10,183
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6
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SHARED VOTING POWER
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-0-
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7
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SOLE DISPOSITIVE POWER
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10,183
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8
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SHARED DISPOSITIVE POWER
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-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
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10,183
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES
*
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N/A
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN
ROW 9
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0.02%
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12
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TYPE OF REPORTING PERSON
*
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FI
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*SEE
INSTRUCTIONS
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Page 4 of 9
1
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NAME OF REPORTING PERSON
John Hancock Small Cap Core Fund
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A
GROUP*
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(a)
☐
(b)
☐
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N/A
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Massachusetts
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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5
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SOLE VOTING POWER
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-0-
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6
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SHARED VOTING POWER
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-0-
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7
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SOLE DISPOSITIVE POWER
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-0-
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8
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SHARED DISPOSITIVE POWER
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-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
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2,733,705 Shares owned directly by the Fund. Manulife Asset Management (US) LLC has sole voting and dispositive
power over these shares.
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES
*
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N/A
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN
ROW 9
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5.79%
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12
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TYPE OF REPORTING PERSON
*
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IV
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*SEE
INSTRUCTIONS
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Page 5 of 9
Item 1(a)
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Name of Issuer
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Enzo Biochem Inc.
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Item 1(b)
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Address of Issuer's Principal Executive Offices
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527 Madison Ave.
New York, NY 10022
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Item 2(a)
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Name of Person Filing
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This filing is made on behalf of Manulife Financial Corporation ("MFC") and MFC’s indirect, wholly-owned
subsidiaries, Manulife Asset Management (US) LLC ("MAM (US)"), Manulife Asset
Management Limited ("MAML"), and also made on behalf of the John Hancock Small Cap Core Fund.
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Item 2(b)
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Address of Principal Business Office
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The principal business offices of MFC and MAML are located at 200 Bloor Street East, Toronto,
Ontario, Canada, M4W 1E5.
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The principal business office of MAM (US) is located at 197 Clarendon Street, Boston, Massachusetts
02116.
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The
principal business office of John Hancock Small Cap Core Fund is located at 200 Berkeley Street, Boston, Massachusetts 02117.
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Item 2(c)
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Citizenship
:
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MFC and MAML are organized and exist under the laws of Canada.
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MAM (US) is organized and exists under the laws of the State of Delaware.
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John Hancock Small Cap Core Fund is organized and exists under the laws of the Commonwealth of
Massachusetts.
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Item 2(d)
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Title of Class of Securities
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Common Stock
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Item 2(e)
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CUSIP Number
:
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294100102
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Item 3
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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MFC:
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(g) (X)
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a parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
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MAM (US):
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(e) (X)
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an investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
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MAML:
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(j) (X)
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a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J).
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John Hancock Small Cap Core Fund:
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(d) (X)
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an investment company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
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Item 4
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Ownership
:
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(a)
Amount Beneficially Owned
: MAM (US) has beneficial ownership of 2,943,024 shares of
Common Stock, of which John Hancock Small Cap Core Fund owns directly 2,733,705 shares and
MAML has beneficial ownership of 10,183 shares of Common Stock. Through its parent-subsidiary
relationship to MAM (US) and MAML, MFC may be deemed to have beneficial ownership of these
same shares.
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Page 6 of 9
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(b)
Percent of Class
: Of the 47,192,429 shares of common stock outstanding as of December 1, 2018,
according to the Form 10-K filed by the issuer with the Securities and Exchange Commission on
December 10, 2018, MAM (US) held 6.21%, of which John Hancock Small Cap Core Fund held
directly 5.79% and MAML held 0.02%.
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(c)
Number of shares as to which the person has
:
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(i)
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sole power to vote or to direct the vote:
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MAM (US) and MAML each has sole power to vote or to direct the voting of the shares
of Common Stock beneficially owned by each of them.
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(ii)
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shared power to vote or to direct the vote: -0-
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(iii)
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sole power to dispose or to direct the disposition of:
MAM (US) and MAML each has sole power to dispose or to direct the disposition of the
shares of Common Stock beneficially owned by each of them.
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(iv)
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shared power to dispose or to direct the disposition of: -0-
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Item 5
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Ownership of Five Percent or Less of a Class
:
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Not applicable.
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Item 6
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Ownership of More than Five Percent on Behalf of Another Person
:
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Not applicable.
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Item 7
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Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
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See Items 3 and 4 above.
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Item 8
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Identification and Classification of Members of the Group
:
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Not applicable.
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Item 9
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Notice of Dissolution of Group
:
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Not applicable.
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Item 10
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Certification
:
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By signing below the undersigned certifies that, to the best of its knowledge and belief, (i) the
securities referred to above were acquired and are held in the ordinary course of business and were not
acquired and are not held for the purpose of or with the effect of changing or influencing the control of
the issuer of the securities and were not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect, and (ii) the foreign regulatory scheme applicable to
MAML, is substantially comparable to the regulatory scheme applicable to the functionally equivalent
U.S. institution. The undersigned also undertakes to furnish to the Commission staff, upon request,
information that would otherwise be disclosed in a Schedule 13D.
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Page 7 of 9
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
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Manulife Financial Corporation
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By:
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/s/ Susie Rafael
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Name:
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Susie Rafael
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Dated: February 6, 2019
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Title:
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Agent*
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Manulife Asset Management (US) LLC
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By:
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/s/ Paul Donahue
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Name:
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Paul Donahue
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Dated: February 5, 2019
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Title:
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Chief Compliance Officer
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Manulife Asset Management Limited
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By:
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/s/ Christopher Walker
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Name:
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Christopher Walker
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Dated: February 5, 2019
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Title:
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Chief Compliance Officer
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John Hancock Small Cap Core Fund
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By:
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/s/ Frank Knox
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Name:
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Frank Knox
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Dated: February 11, 2019
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Title:
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Chief Compliance Officer, U.S Investment Management
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* Signed pursuant to a Power of Attorney dated January 17, 2018 included as Exhibit A to Schedule 13F-NT filed with the Securities and Exchange Commission by Manulife Financial Corporation on January
29, 2018.
Page 8 of 9
EXHIBIT A
JOINT FILING AGREEMENT
Manulife Financial Corporation, Manulife Asset Management (US) LLC and Manulife Asset Management
Limited agree that the Schedule 13G to which this Agreement is attached, relating to the Common Stock of Eco
Biochem Inc., is filed on behalf of each of them.
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Manulife Financial Corporation
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By:
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/s/ Susie Rafael
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Name:
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Susie Rafael
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Dated: February 6, 2019
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Title:
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Agent*
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Manulife Asset Management (US) LLC
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By:
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/s/ Paul Donahue
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Name:
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Paul Donahue
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Dated: February 5, 2019
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Title:
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Chief Compliance Officer
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Manulife Asset Management Limited
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By:
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/s/ Christopher Walker
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Name:
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Christopher Walker
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Dated: February 5, 2019
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Title:
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Chief Compliance Officer
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John Hancock Small Cap Core Fund
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By:
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/s/ Frank Knox
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Name:
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Frank Knox
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Dated: February 11, 2019
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Title:
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Chief Compliance Officer, U.S Investment Management
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* Signed pursuant to a Power of Attorney dated January 17, 2018 included as Exhibit A to Schedule 13F-NT filed with the Securities and Exchange Commission by Manulife Financial Corporation on January
29, 2018.
Page 9 of 9
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