Statement of Changes in Beneficial Ownership (4)
February 26 2020 - 5:20PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Bench David |
2. Issuer Name and Ticker or Trading Symbol
ENZO BIOCHEM INC
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ENZ
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CHIEF FINANCIAL OFFICER |
(Last)
(First)
(Middle)
C/O ENZO BIOCHEM, INC., 527 MADISON AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/24/2020 |
(Street)
NEW YORK, NY 10026
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Stock Option (to acquire Common Stock) | $2.20 | 2/24/2020 | | A | | 55400 | | 2/24/2021 (1) | 2/24/2031 | Common Stock | 55400 | $0 | 55400 (2) | D | |
Explanation of Responses: |
(1) | The Reporting Person was granted 55,400 stock options. The stock options have a ten-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 12,000 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bench David C/O ENZO BIOCHEM, INC. 527 MADISON AVENUE NEW YORK, NY 10026 |
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| CHIEF FINANCIAL OFFICER |
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Signatures
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/s/ David Bench | | 2/26/2020 |
**Signature of Reporting Person | Date |
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