SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
Wolf James G.

(Last) (First) (Middle)
105, FLYWAY DRIVE

(Street)
KIAWAH ISLAND SC 29455

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/28/2022
3. Issuer Name and Ticker or Trading Symbol
ENZO BIOCHEM INC [ ENZ ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
01/09/2023
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, $0.01 par value 3,535,000(1) D
Common Stock, $0.01 par value 116,000 I See Footnote(2)
Common Stock, $0.01 par value 22,000 I See Footnote(3)
Common Stock, $0.01 par value 105,000(4) I See Footnote(5)
Common Stock, $0.01 par value 152,500(6) I See Footnote(7)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Long Call Option (right to buy) 10/28/2022 01/20/2023 Common Stock 275,000 2.5 D
Long Call Option (right to buy) 10/28/2022 01/20/2023 Common Stock 200,000 5 D
Long Call Option (right to buy) 10/28/2022 04/21/2023 Common Stock 75,000 2.5 D
Long Call Option (right to buy) 10/28/2022 04/21/2023 Common Stock 80,700 5 D
Long Call Option (right to buy) 10/28/2022 04/21/2023 Common Stock 75,000 7.5 D
Short Put Option (obligation to buy) 10/28/2022 01/20/2023 Common Stock 400,000 2.5 D
Short Put Option (obligation to buy) 10/28/2022 01/20/2023 Common Stock 34,500 5 D
Short Put Option (obligation to buy) 10/28/2022 04/21/2023 Common Stock 30,000 2.5 D
Short Put Option (obligation to buy) 10/28/2022 11/18/2022 Common Stock 23,900(8) 2.5 D
Explanation of Responses:
1. This amendment to Form 3 is being filed to correct the original Form 3 filed on January 9, 2023. The original Form 3 inadvertently overstated the Reporting Person's direct holdings of common stock by 25,000 shares.
2. These shares are held in qualified retirement accounts in the name, and for the benefit, of the Reporting Person.
3. These shares are held in a qualified retirement account in the name, and for the benefit, of the Reporting Person's spouse. The Reporting Person has dispositive and voting control over the retirement account. The Reporting Person disclaims beneficial ownership of the securities held by this retirement account, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
4. This amendment to Form 3 is being filed to correct the original Form 3 filed on January 9, 2023. The original Form 3 inadvertently overstated common stock held by the Reporting Person's sibling by 5,000 shares.
5. These shares are held directly by the Reporting Person's sibling. The Reporting Person maintains a power of attorney granted by the Reporting Person's sibling with respect to these shares, including voting and dispositive power over the shares. The Reporting Person has no pecuniary interest in the shares and disclaims beneficial ownership of the securities held by his sibling. This report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or the Securities Exchange Act of 1934, as amended, or for any other purpose.
6. This amendment is being filed to correct the original Form 3 filed on January 9, 2023. The original Form 3 inadvertently overstated common stock held by the Reporting Person's adult children by 18,000 shares.
7. These shares are held directly by one of the Reporting Person's adult children. The Reporting Person maintains a power of attorney granted by the Reporting Person's adult child with respect to these shares, including voting and dispositive power over the shares. The Reporting Person has no pecuniary interest in the shares and disclaims beneficial ownership of the securities held by his child. This report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
8. The original Form 3 inadvertently omitted certain short put options with an exercise price of $2.50 per share that expired on November 18, 2022. The Reporting Person filed an amendment to Form 3 on January 12, 2023 to correct the original Form 3 filed on January 9, 2023.
James G. Wolf 01/18/2023
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.