| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ENZO BIOCHEM INC [ ENZ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/31/2022 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, $0.01 par value | 11/17/2022 | C(1) | 300 | A | $2.5 | 3,535,300 | D | |||
| Common Stock, $0.01 par value | 11/21/2022 | C(1) | 24,700 | A | $2.5 | 3,560,000 | D | |||
| Common Stock, $0.01 par value | 12/14/2022 | C(1) | 136,200 | A | $2.5 | 3,696,200 | D | |||
| Common Stock, $0.01 par value | 12/15/2022 | C(1) | 85,100 | A | $2.5 | 3,781,300 | D | |||
| Common Stock, $0.01 par value | 12/16/2022 | C(1) | 33,700 | A | $2.5 | 3,815,000 | D | |||
| Common Stock, $0.01 par value | 11/01/2022 | P | 5,000 | A | $2.14 | 400,500 | I | See Footnote(2) | ||
| Common Stock, $0.01 par value | 10/31/2022 | P | 14,500 | A | $2.15 | 415,000 | I | See Footnote(3) | ||
| Common Stock, $0.01 par value | 11/01/2022 | P | 3,500 | A | $2.15 | 418,500(4) | I | See Footnote(3) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Long Call Option (right to buy) | $2.5 | 11/01/2022 | P | 500 | 11/01/2022 | 01/20/2023 | Common Stock, $0.01 par value | 50,000 | $0.44 | 3,250 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/01/2022 | S | 500 | 11/01/2022 | 01/20/2023 | Common Stock, $0.01 par value | 50,000 | $0.69 | 4,500 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/01/2022 | S | 10 | 11/01/2022 | 04/21/2023 | Common Stock, $0.01 par value | 10,000 | $0.8 | 310 | D | ||||
| Long Call Option (right to buy) | $2.5 | 11/01/2022 | P | 10 | 11/01/2022 | 04/21/2023 | Common Stock, $0.01 par value | 10,000 | $0.65 | 760 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/01/2022 | S | 490 | 11/01/2022 | 04/21/2023 | Common Stock, $0.01 par value | 49,000 | $0.8 | 800 | D | ||||
| Long Call Option (right to buy) | $2.5 | 11/01/2022 | P | 490 | 11/01/2022 | 04/21/2023 | Common Stock, $0.01 par value | 49,000 | $0.65 | 1,250 | D | ||||
| Long Call Option (right to buy) | $2.5 | 11/03/2022 | P | 250 | 11/03/2022 | 04/21/2023 | Common Stock, $0.01 par value | 25,000 | $0.42 | 1,050 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/03/2022 | S | 250 | 11/03/2022 | 04/21/2023 | Common Stock, $0.01 par value | 25,000 | $0.62 | 1,050 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/03/2022 | S | 200 | 11/03/2022 | 04/21/2023 | Common Stock, $0.01 par value | 20,000 | $0.64 | 1,250 | D | ||||
| Long Call Option (right to buy) | $2.5 | 11/03/2022 | P | 200 | 11/03/2022 | 04/21/2023 | Common Stock, $0.01 par value | 20,000 | $0.44 | 1,700 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/03/2022 | S | 9 | 11/03/2022 | 11/18/2022 | Common Stock, $0.01 par value | 900 | $0.3 | 248 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/03/2022 | S | 2 | 11/03/2022 | 11/18/2022 | Common Stock, $0.01 par value | 200 | $0.6 | 250 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/17/2022 | C(1) | 3 | 11/03/2022 | 11/18/2022 | Common Stock, $0.01 par value | 300 | $0 | 247 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 11/21/2022 | C(1) | 247 | 11/03/2022 | 11/18/2022 | Common Stock, $0.01 par value | 24,700 | $0 | 0 | D | ||||
| Long Call Option (right to buy) | $2.5 | 12/05/2022 | S | 200 | 12/05/2022 | 04/21/2023 | Common Stock, $0.01 par value | 20,000 | $0.25 | 1,500 | D | ||||
| Long Call Option (right to buy) | $2.5 | 12/05/2022 | S | 57 | 12/05/2022 | 04/21/2023 | Common Stock, $0.01 par value | 5,700 | $0.2 | 1,443 | D | ||||
| Long Call Option (right to buy) | $2.5 | 12/06/2022 | S | 443 | 12/06/2022 | 04/21/2023 | Common Stock, $0.01 par value | 44,300 | $0.15 | 1,000 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 12/14/2022 | C(1) | 1,362 | 11/01/2022 | 01/20/2023 | Common Stock, $0.01 par value | 136,200 | $0 | 3,138 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 12/15/2022 | C(1) | 851 | 11/01/2022 | 01/20/2023 | Common Stock, $0.01 par value | 85,100 | $0 | 2,287 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 12/15/2022 | S | 56 | 12/15/2022 | 04/21/2023 | Common Stock, $0.01 par value | 5,600 | $1.25 | 1,306 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 12/15/2022 | S | 444 | 12/15/2022 | 04/21/2023 | Common Stock, $0.01 par value | 44,400 | $1.29 | 1,750 | D | ||||
| Short Put Option (obligation to buy) | $2.5 | 12/16/2022 | C(1) | 337 | 11/01/2022 | 04/21/2023 | Common Stock, $0.01 par value | 33,700 | $0 | 1,413 | D | ||||
| Long Call Option (right to buy) | $2.5 | 12/30/2022 | S | 6 | 12/30/2022 | 01/20/2023 | Common Stock, $0.01 par value | 600 | $0.05 | 3,244 | D | ||||
| Explanation of Responses: |
| 1. The counterparty to certain of the Reporting Person's outstanding short put options exercised such options and the Reporting Person was obliged to purchase these shares at an exercise price of $2.50 per share. |
| 2. This transaction was completed in the name and for the benefit of 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 will not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 3. The transaction was completed in the name and for the benefit of one or more of the Reporting Person's adult children. The Reporting Person maintains power of attorney granted by each of his adult children 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 adult children. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or 1934, as amended, or for any other purpose. |
| 4. The 418,500 shares owned indirectly by the Reporting Person upon completion of this Transaction included 116,000 shares held in qualified retirement accounts in the name, and for the benefit, of the Reporting Person, 22,000 shares held in qualified retirement accounts in the name, and for the benefit, of the Reporting Person's spouse, 110,000 shares owned directly by the Reporting Person's sibling and 170,500 shares owned directly by adult children of the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest. |
| James G. Wolf | 01/19/2022 | |
| ** 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 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). | ||
| 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. | ||