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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
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 | Chairman and CEO |
/s/ Elazar Rabbani | 01/23/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On January 23, 2007, the Reporting Person was granted 15,000 Restricted Stock Units as compensation for serving as a director and officer of the Issuer. Each Restricted Stock Unit consists of a right to the issuance of one share of common stock, par value $.01 ("Common Stock"). The Restricted Stock Units are subject to a two-year vesting period. |
(2) | As of the date hereof, the Reporting Person has a direct beneficial ownership interest in: (a) 3,469 shares of Common Stock that the Reporting Person holds as custodian for certain of his children; (b) 2,168 shares of Common Stock that the Reporting Person's wife holds as custodian for certain of their children; (c) 5,100 shares of Common Stock held in the name of the Reporting Person's children; (d) 4,216 shares of Common Stock held in the Issuer's 401(k) plan; and (e) stock options to purchase 523,342 shares of Common Stock. The Reporting Person also owns 15,000 Restricted Stock Units that will not vest within the next 60 days. |