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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 | ||||||||
Stock Option (to acquire Common Stock) | $ 2.2 | 02/24/2020 | A | 55,400 | 02/24/2021(1) | 02/24/2025 | Common Stock | 55,400 | $ 0 | 55,400 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bench David C/O ENZO BIOCHEM, INC. 527 MADISON AVENUE NEW YORK, NY 10022 |
CHIEF FINANCIAL OFFICER |
/s/ David Bench | 02/27/2020 | |
**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) | The Reporting Person was granted 55,400 stock options. The stock options have a five-year term and will vest in three equal installments, one on the first anniversary of the grant date, the second on the second anniversary of the grant date and the third on the third anniversary of the grant date. |
(2) | Does not include 15,000 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. |