SECURITIES AND EXCHANGE COMMISSION | |
Washington, D.C. 20549 | |
SCHEDULE 13D/A | |
Under the Securities Exchange Act of 1934 | |
(Amendment No. 1)* | |
Enzo Biochem, Inc. | |
(Name of Issuer) | |
Common Stock, $0.01 par value | |
(Title of Class of Securities) | |
294100102 | |
(CUSIP Number) | |
Kevin A. McGovern, Esq. c/o Harbert Discovery Fund, LP 2100 Third Avenue North, Suite 600 Birmingham, AL 35203 (205) 987-5577
with a copy to:
Eleazer Klein, Esq. Schulte Roth & Zabel LLP 919 Third Avenue New York, New York 10022 (212) 756-2000 | |
(Name, Address and Telephone Number of Person | |
Authorized to Receive Notices and Communications) | |
April 22, 2019 | |
(Date of Event Which Requires Filing of This Statement) | |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box. [ ]
(Page 1 of 13 Pages)
______________________________
* 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 disclosures provided in a prior cover page.
The information required on 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).
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 2 of 13 Pages |
1 |
NAME OF REPORTING PERSON Harbert Discovery Fund, LP | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS WC | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 1,604,827 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 1,604,827 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,604,827 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.40% | |||
14 |
TYPE OF REPORTING PERSON PN | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 3 of 13 Pages |
1 |
NAME OF REPORTING PERSON Harbert Discovery Fund GP, LLC | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 1,604,827 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 1,604,827 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,604,827 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.40% | |||
14 |
TYPE OF REPORTING PERSON OO | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 4 of 13 Pages |
1 |
NAME OF REPORTING PERSON Harbert Discovery Co-Investment Fund I, LP | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS WC | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 2,251,037 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 2,251,037 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 2,251,037 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.76% | |||
14 |
TYPE OF REPORTING PERSON PN | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 5 of 13 Pages |
1 |
NAME OF REPORTING PERSON Harbert Discovery Co-Investment Fund I GP, LLC | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 2,251,037 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 2,251,037 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 2,251,037 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.76% | |||
14 |
TYPE OF REPORTING PERSON OO | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 6 of 13 Pages |
1 |
NAME OF REPORTING PERSON Harbert Fund Advisors, Inc. | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Alabama | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 3,855,864 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 3,855,864 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 3,855,864 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.16% | |||
14 |
TYPE OF REPORTING PERSON IA, CO | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 7 of 13 Pages |
1 |
NAME OF REPORTING PERSON Harbert Management Corporation | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Alabama | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 3,855,864 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 3,855,864 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 3,855,864 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.16% | |||
14 |
TYPE OF REPORTING PERSON CO | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 8 of 13 Pages |
1 |
NAME OF REPORTING PERSON Jack Bryant | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION United States of America | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 3,855,864 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 3,855,864 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 3,855,864 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.16% | |||
14 |
TYPE OF REPORTING PERSON IN | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 9 of 13 Pages |
1 |
NAME OF REPORTING PERSON Kenan Lucas | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION United States of America | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 3,855,864 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 3,855,864 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 3,855,864 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.16% | |||
14 |
TYPE OF REPORTING PERSON IN | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 10 of 13 Pages |
1 |
NAME OF REPORTING PERSON Raymond Harbert | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) ¨ | ||
3 | SEC USE ONLY | |||
4 |
SOURCE OF FUNDS AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ¨ | ||
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION United States of America | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
7 |
SOLE VOTING POWER -0- | ||
8 |
SHARED VOTING POWER 3,855,864 | |||
9 |
SOLE DISPOSITIVE POWER -0- | |||
10 |
SHARED DISPOSITIVE POWER 3,855,864 | |||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 3,855,864 | |||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.16% | |||
14 |
TYPE OF REPORTING PERSON IN | |||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 11 of 13 Pages |
The following constitutes Amendment No. 1 to the Schedule 13D filed by the undersigned (the “Amendment No. 1”). This Amendment No. 1 amends the Schedule 13D as specifically set forth herein.
Item 3. | SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION |
Item 3 of the Schedule 13D is hereby amended and restated in its entirety as follows: |
The funds for the purchase of the Common Stock by the Funds came from the working capital of the Funds, over which HFA, HMC, the Fund GPs, Jack Bryant, Kenan Lucas and Raymond Harbert, through their roles described above in Item 2(c), exercise investment discretion. No borrowed funds were used to purchase the shares of Common Stock reported in this Schedule 13D, other than borrowed funds used for working capital purposes in the ordinary course of business. The total costs of the Common Stock directly owned by the Funds is approximately $10,960,232. |
Item 5. | INTEREST IN SECURITIES OF THE ISSUER |
Item 5(c) of the Schedule 13D is hereby amended and restated in its entirety as follows: | |
(c) | The transactions in the shares of Common Stock effected since the filing of the Schedule 13D by the Reporting Persons, which were all in the open market, are set forth in Annex A, and are incorporated herein by reference. |
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 12 of 13 Pages |
SIGNATURES
After reasonable inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
Date: April 24, 2019
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 | ||
Harbert Discovery Fund GP, LLC | ||
By: | Harbert Management Corporation, | |
its Managing Member | ||
By: |
/s/ John McCullough | |
Executive Vice President and | ||
General Counsel | ||
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 |
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 | ||
Harbert Fund Advisors, Inc. | ||
By: |
/s/ John McCullough | |
Executive Vice President and | ||
General Counsel | ||
Harbert Management Corporation | ||
By: |
/s/ John McCullough | |
Executive Vice President and | ||
General Counsel | ||
By: |
/s/ Jack Bryant | |
Jack Bryant | ||
By: |
/s/ Kenan Lucas | |
Kenan Lucas | ||
By: |
/s/ Raymond Harbert | |
Raymond Harbert | ||
CUSIP No. 294100102 | SCHEDULE 13D/A | Page 13 of 13 Pages |
Annex A
This Annex sets forth information with respect to each purchase and sale (excluding brokerage commissions) of Common Stock which was effectuated by the Reporting Persons since the filing of the Schedule 13D. All transactions were effectuated in the open market through a broker.
Harbert Discovery Co-Investment Fund I, LP
Trade Date | Common Stock Purchased (Sold) |
Price Per Share ($) |
04/09/2019 | 2,600 | 3.1277 |
04/09/2019 | 100,000 | 3.2500 |
04/10/2019 | 9,951 | 3.2429 |
04/10/2019 | 28,100 | 3.3500 |
04/11/2019 | 8,500 | 3.3607 |
04/11/2019 | 50,000 | 3.4000 |
04/12/2019 | 24,190 | 3.4358 |
04/15/2019 | 15,800 | 3.3966 |
04/15/2019 | 100,000 | 3.5000 |
04/17/2019 | 3,800 | 3.4991 |
04/17/2019 | 50,000 | 3.5000 |
04/18/2019 | 17,955 | 3.5213 |
04/18/2019 | 10,000 | 3.5381 |
04/18/2019 | 50,000 | 3.5500 |
04/22/2019 | 30,258 | 3.5469 |
04/23/2019 | 6,582 | 3.5911 |
04/23/2019 | 58,470 | 3.6000 |
04/24/2019 | 22,057 | 3.6127 |