Amended Statement of Changes in Beneficial Ownership (4/a)
February 27 2020 - 5:17PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
RABBANI ELAZAR |
2. Issuer Name and Ticker or Trading Symbol
ENZO BIOCHEM INC
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ENZ
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer |
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(Last)
(First)
(Middle)
C/O ENZO BIOCHEM, INC., 527 MADISON AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/24/2020 |
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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)
2/26/2020 |
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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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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (to acquire Common Stock) | $2.20 | 2/24/2020 | | A | | 130100 | | 2/24/2021 (1) | 2/24/2025 | Common Stock | 130100 | $0 | 310715 (2) | D | |
| Explanation of Responses: |
| (1) | The Reporting Person was granted 130,100 stock options. The stock options have a five-year term and will vest in two equal installments, one on the first anniversary of the grant date and the other on the second anniversary of the grant date. |
| (2) | Does not include 31,700 Performance Stock Units granted to the Reporting Person on February 24, 2020, which will vest, if at all, based on (i) the achievement of certain average revenue growth and average adjusted EBITDA growth goals on February 24, 2023 and (ii) the continued employment of the Reporting Person through February 24, 2023. |
Remarks:
This amendment is being filed to correct the original Form 4, filed on February 26, 2020, which misreported (i) the expiration date/term of the stock options granted to the Reporting Person and (ii) the number of Performance Stock Units granted to the Reporting Person. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
RABBANI ELAZAR
C/O ENZO BIOCHEM, INC.
527 MADISON AVENUE
NEW YORK, NY 10022 | X |
| Chief Executive Officer |
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Signatures
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| /s/ Elazar Rabbani | | 2/27/2020 |
| **Signature of Reporting Person | Date |
Enzo Biochem (NYSE:ENZ)
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