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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 | CHIEF EXECUTIVE OFFICER |
/s/ Elazar Rabbani | 01/13/2021 | |
**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 shares of Common Stock were issued in lieu of a previously announced cash bonus of $500,000 for Dr. Rabbani for the fiscal year ended July 31, 2020 pursuant to Dr. Rabbani's request to accept shares of Common Stock in lieu of the cash bonus, based on the closing price of the Common Stock on the New York Stock Exchange of $2.63 per share on January 11, 2021. |
(2) | Includes (i) 1,792,868 shares of Common Stock held by Dr. Rabbani, (ii) 402,050 shares of Common Stock issuable upon the exercise of options which are exercisable within 60 days from the date hereof, (iii) 5,308 shares of Common Stock held in the name of Dr. Rabbani as custodian for certain of his children, (iv) 18,794 shares of Common Stock held in the name of Dr. Rabbani's wife as custodian for certain of their children, and (v) 43,188 shares of Common Stock held in the Company's 401(k) plan. |