UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
N-Q
QUARTERLY
SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT
COMPANIES
Investment
Company Act file number:
811-01639
Engex,
Inc.
(Exact
name of registrant as specified in charter)
44 Wall Street, 2nd Floor,
New York, NY 10005
(Address
of principal executive offices) (Zip code)
(Name and
address of agent for service)
Registrant's
telephone number, including area code:
212-495-4105
Date of
fiscal year end:
September
30
Date of
reporting period:
December 31,
2008
Item 1.
Schedule of Investments
COMMON
STOCK (108.5%)
|
|
|
|
|
|
|
|
Biotechnology
(86.1%)
|
|
|
|
|
|
|
|
Enzo
Biochem, Inc. *(a)
|
691,396
shs
|
|
$
|
3,380,926
|
|
|
|
|
Keryx
Biopharmaceutical *(a)
|
85,500
shs
|
|
|
18,836
|
|
|
$
|
3,399,762
|
|
|
|
|
|
|
|
|
|
|
|
Technology
(0.1%)
|
|
|
|
|
|
|
|
|
|
Silverstar
Holdings Ltd. *
|
51,600
shs
|
|
|
|
|
|
|
5,181
|
|
|
|
|
|
|
|
|
|
|
|
Gaming
Industry (12.3%)
|
|
|
|
|
|
|
|
|
|
American
Vantage Company *
|
474,500
shs
|
|
|
|
|
|
|
488,735
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL
INVESTMENT IN MARKETABLE SECURITIES
COST
– ($7,840,711)
|
|
|
|
|
|
$
|
3,893,678
|
|
|
|
|
|
|
|
|
|
|
|
PUBLICLY
TRADED RESTRICTED
SECURITIES
(10.0%)
|
|
|
|
|
|
|
|
|
|
MiMedx
Group, Inc
COST
– ($312,503)
|
282,342
shs
|
|
|
|
|
|
$
|
395,279
|
|
|
|
|
|
|
|
|
|
|
|
PRIVATE
INVESTMENTS* (9.4%)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Etilize
Inc
|
506,756
shs
|
|
|
|
|
|
$
|
375,000
|
|
Lifesync
Holdings, Inc. (b)
|
4,675
shs
|
|
|
|
|
|
|
|
|
Corente,
Inc. (c)
|
11,793
shs
|
|
|
|
|
|
|
|
|
Surgivision
Series Common Stock
|
300,000
shs
|
|
|
|
|
|
|
300,000
|
|
TOTAL
PRIVATE INVESTMENTS
COST
– ($2,971,254)
|
|
|
|
|
|
|
$
|
675,000
|
|
* Non-income-producing
securities
(a) Pledged
as collateral against margin balance at custodian.
(b) Formerly,
GMP Companies, Inc.
(c) Formerly,
Openreach.com
Item
2.
Controls and
Procedures.
(a)
|
Registrant's
principal executive and principal financial officers agree that
registrant's disclosure controls and procedures, as defined in Rule
30a-3(c) under the 1940 Act, are effective, based on their evaluation of
these controls and procedures, as required by Rule 30a-3(b), within 90
days of the filling date of this
report.
|
(b)
|
During
the Registrant's last fiscal quarter, there were no changes in its
internal controls over financial reporting that materially affected, or
are likely to materially affect, the Registrant's internal controls over
financial reporting.
|
Item
3.
Exhibits.
(1) Certification
of principal executive officer
(2) Certification
of principal financial officer
Pursuant
to the requirements of the Securities Exchange Act of 1934 and the Investment
Company Act of 1940, the registrant has duly caused this report to be signed on
its behalf by the undersigned, thereunto duly authorized.
(Registrant)
Engex,
Inc.
By:
/s/ J. Morton
Davis
J. Morton Davis, President
Date:
March 9,
2009
Pursuant
to the requirements of the Securities Exchange Act of 1934 and the Investment
Company Act of 1940, this report has been signed below by the following persons
on behalf of the registrant and in the capacities and on the dates
indicated.
By:
/s/ J. Morton
Davis
J. Morton Davis, President
Date:
March 9,
2009
By:
/s/ Gilbert
Jackson
Gilbert Jackson, Treasurer
Date:
March 9,
2009
Exhibit
(1)
I, J.
Morton Davis, certify that:
1.
|
I
have reviewed this report on Form N-Q of Engex, Inc. (the
"registrant");
|
2.
|
Based
on my knowledge, this report does not contain any untrue statement of a
material fact or omit to state a material fact necessary to make the
statements made, in light of the circumstances under which such statements
were made, not misleading with respect to the period covered by this
report;
|
3.
|
Based
on my knowledge, the schedule of investments included in this report,
fairly present in all material respects the investments of the registrant
as of the end of the fiscal quarter for which the report is
filed;
|
4.
|
The
registrant's other certifying officer and I are responsible for
establishing and maintaining disclosure controls and procedures (as
defined in Rule 30a-3(c) under the Investment Company Act of 1940) and
internal control over financial reporting (as defined in Rule 30a-3(d)
under the Investment Company Act of 1940) for the registrant and
have:
|
a) Designed
such disclosure controls and procedures, or caused such disclosure controls and
procedures to be designed under our supervision, to ensure that material
information relating to the registrant, including its consolidated subsidiaries,
is made known to us by others within those entities, particularly during the
period in which this report is being prepared;
b) Designed
such internal control over financial reporting, or caused such internal control
over financial reporting to be designed under our supervision, to provide
reasonable assurance regarding the reliability of financial reporting and the
preparation of financial statements for external purposes in accordance with
generally accepted accounting principles;
c) Evaluated
the effectiveness of the registrant's disclosure controls and procedures and
presented in this report our conclusions about the effectiveness of the
disclosure controls and procedures, as of a date within 90 days prior to the
filing date of this report, based on such evaluation; and
d) Disclosed
in this report any change in the registrant's internal control over financial
reporting that occurred during the registrant's most recent fiscal half-year
that has materially affected, or is reasonably likely to materially affect, the
registrant's internal control over financial reporting; and
5.
|
The
registrant's other certifying officer and I have disclosed to the
registrant's auditors and the audit committee of the registrant's board of
directors:
|
a) All
significant deficiencies and material weaknesses in the design or operation of
internal control over financial reporting which are reasonably likely to
adversely affect the registrant's ability to record, process, summarize, and
report financial information; and
b) Any
fraud, whether or not material, that involves management or other employees who
have a significant role in the registrant's internal control over financial
reporting.
March 9,
2009
/s/ J. Morton
Davis
J. Morton
Davis
President
Exhibit
(2)
I,
Gilbert Jackson, certify that:
1.
|
I
have reviewed this report on Form N-Q of Engex, Inc. (the
"registrant");
|
2.
|
Based
on my knowledge, this report does not contain any untrue statement of a
material fact or omit to state a material fact necessary to make the
statements made, in light of the circumstances under which such statements
were made, not misleading with respect to the period covered by this
report;
|
3.
|
Based
on my knowledge, the schedule of investments included in this report,
fairly present in all material respects the investments of the registrant
as of the end of the fiscal quarter for which the report is
filed;
|
4.
|
The
registrant's other certifying officer and I are responsible for
establishing and maintaining disclosure controls and procedures (as
defined in Rule 30a-3(c) under the Investment Company Act of 1940) and
internal control over financial reporting (as defined in Rule 30a-3(d)
under the Investment Company Act of 1940) for the registrant and
have:
|
a) Designed
such disclosure controls and procedures, or caused such disclosure controls and
procedures to be designed under our supervision, to ensure that material
information relating to the registrant, including its consolidated subsidiaries,
is made known to us by others within those entities, particularly during the
period in which this report is being prepared;
b) Designed
such internal control over financial reporting, or caused such internal control
over financial reporting to be designed under our supervision, to provide
reasonable assurance regarding the reliability of financial reporting and the
preparation of financial statements for external purposes in accordance with
generally accepted accounting principles;
c) Evaluated
the effectiveness of the registrant's disclosure controls and procedures and
presented in this report our conclusions about the effectiveness of the
disclosure controls and procedures, as of a date within 90 days prior to the
filing date of this report, based on such evaluation; and
d) Disclosed
in this report any change in the registrant's internal control over financial
reporting that occurred during the registrant's most recent fiscal half-year
that has materially affected, or is reasonably likely to materially affect, the
registrant's internal control over financial reporting; and
5.
|
The
registrant's other certifying officer and I have disclosed to the
registrant's auditors and the audit committee of the registrant's board of
directors:
|
a) All
significant deficiencies and material weaknesses in the design or operation of
internal control over financial reporting which are reasonably likely to
adversely affect the registrant's ability to record, process, summarize, and
report financial information; and
b) Any
fraud, whether or not material, that involves management or other employees who
have a significant role in the registrant's internal control over financial
reporting.
March 9,
2009
/s/ Gilbert
Jackson
Gilbert
Jackson
Treasurer
Engex (AMEX:EGX)
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