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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 | |
Perlysky Dov C/O ENZO BIOCHEM, INC. 527 MADISON AVENUE NEW YORK, NY 10022 |
X |
/s/ Dov Perlysky | 10/22/2018 | |
**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) | Includes 218,816 vested options. |
(2) | Includes 45,000 Common Stock owned by Sky Ventures LLC, whose manager is Dov Perlysky and of which Dov Perlysky disclaims beneficial ownership. |
(3) | Includes 109,237 Common Stock owned by RSD 2010 Enzo GRAT, whose trustee is Dov Perlysky and of which Dov Perlysky disclaims beneficial ownership. |
(4) | Includes 325,875 Common Stock held by Kinder Investment LP, an entity of which Dov Perlysky is the Managing Member of the General Partner and of which Dov Perlysky disclaims beneficial ownership. |
(5) | Includes 6,981 Common Stock held by Krovim LLC, an entity of which Dov Perlysky is the Managing Member of the General Partner, and children of Dov Perlysky own a 27.54% interest, and of which Dov Perlysky disclaims beneficial ownership. |
(6) | Includes 3,225 Common Stock held by MidAtlantic Capital Lending LLC, an entity of which Dov Perlysky owns 1% and of which Dov Perlysky disclaims beneficial ownership. |
(7) | Includes 33,139 Common Stock held by Laya Perlysky, of which Dov Perlysky disclaims beneficial ownership and of which Dov Perlysky disclaims beneficial ownership. |