Statement of Changes in Beneficial Ownership (4)
May 30 2019 - 5:22PM
Edgar (US Regulatory)
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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
*
HARBERT MANAGEMENT CORP
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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)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
2100 THIRD AVENUE NORTH, SUITE 600
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2019
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(Street)
BIRMINGHAM, AL 35203
(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)
___ Form filed by One Reporting Person
_
X
_ 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, $0.01 par value ("Common Stock")
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5/28/2019
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P
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50000
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A
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$3.10
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5117219
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I
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See footnote
(1)
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Common Stock
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5/28/2019
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P
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13677
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A
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$3.06
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5130896
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I
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See footnote
(1)
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Common Stock
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5/29/2019
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P
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19050
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A
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$3.08
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5149946
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I
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See footnote
(1)
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Common Stock
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5/30/2019
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P
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19391
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A
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$3.07
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5169337
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I
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See footnote
(1)
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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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The securities reported herein are held by Harbert Discovery Fund, LP (the "Discovery Fund") and Harbert Discovery Co-Investment Fund I, LP (the "Discovery Co-Investment Fund" and together with the Discovery Fund, the "Funds"). Harbert Discovery Fund GP, LLC ( the "Discovery Fund GP") is the general partner of the Discovery Fund, and Harbert Discovery Co-Investment Fund I GP, LLC is the general partner of the Discovery Co-Investment Fund (and together with Harbert Discovery Fund GP, the "Fund GPs"). Harbert Fund Advisors, Inc. is the investment adviser to the Funds. Harbert Management Corporation ("HMC") is the managing member of the Fund GPs. Jack Bryant is a Senior Advisor to the Discovery Fund, and a Vice President and Senior Managing Director of HMC. Kenan Lucas is the managing director and portfolio manager of the Funds. Raymond Harbert is the controlling shareholder, Chairman and Chief Executive Officer of HMC.
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Remarks:
Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
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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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HARBERT MANAGEMENT CORP
2100 THIRD AVENUE NORTH
SUITE 600
BIRMINGHAM, AL 35203
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X
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Harbert Discovery Fund, LP
HARBERT DISCOVERY FUND GP, LLC
2100 THIRD AVENUE NORTH, SUITE 600
BIRMINGHAM, AL 35203
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X
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HARBERT DISCOVERY FUND GP, LLC
2100 THIRD AVENUE NORTH
SUITE 600
BIRMINGHAM, AL 35203
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X
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HARBERT DISCOVERY CO-INVESTMENT FUND I, LP
2100 THIRD AVENUE NORTH
SUITE 600
BIRMINGHAM, AL 35203
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X
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HARBERT DISCOVERY CO-INVESTMENT FUND I GP, LLC
2100 THIRD AVENUE NORTH
SUITE 600
BIRMINGHAM, AL 35203
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X
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HARBERT FUND ADVISORS, INC.
2100 THIRD AVENUE NORTH
SUITE 600
BIRMINGHAM, AL 35203
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X
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BRYANT JOHN F.
C/O HARBERT MANAGEMENT CORPORATION
2100 THIRD AVENUE NORTH, SUITE 600
BIRMINGHAM, AL 35203
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X
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LUCAS KENAN
C/O HARBERT MANAGEMENT CORPORATION
2100 THIRD AVENUE NORTH, SUITE 600
BIRMINGHAM, AL 35203
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X
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HARBERT RAYMOND J
2100 THIRD AVENUE NORTH
SUITE 600
BIRMINGHAM, AL 35203
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X
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Signatures
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Harbert Discovery Fund, LP, By: Harbert Discovery Fund GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel
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5/30/2019
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**
Signature of Reporting Person
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Date
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Harbert Discovery Fund GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel
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5/30/2019
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Signature of Reporting Person
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Date
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Harbert Discovery Co-Investment Fund I, LP, By: Harbert Discovery Co-Investment Fund I GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel
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5/30/2019
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**
Signature of Reporting Person
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Date
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Harbert Discovery Co-Investment Fund I GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel
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5/30/2019
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Signature of Reporting Person
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Date
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Harbert Fund Advisors, Inc., By: /s/ John McCullough, Executive Vice President and General Counsel
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5/30/2019
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**
Signature of Reporting Person
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Date
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Harbert Management Corporation, By: /s/ John McCullough, Executive Vice President and General Counsel
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5/30/2019
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Signature of Reporting Person
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Date
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/s/ Jack Bryant
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5/30/2019
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**
Signature of Reporting Person
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Date
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/s/ Kenan Lucas
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5/30/2019
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**
Signature of Reporting Person
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Date
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/s/Raymond Harbert
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5/30/2019
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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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