SEC Form 3 · accession 0001615774-15-000685

Enumeral Biomedical Holdings, Inc. · ENUM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Apr 3, 2015

Accepted (ET)

Apr 3, 2015 · 4:53 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001561551

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—		—	7,966,368	I	By: Harris & Harris Group, Inc.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)	$1.00	holding	—	—	—	Aug 4, 2014	Aug 3, 2024	Common Stock	20,000	—	D
Stock Option (Right to Buy)^F2	$1.00	holding	—	—	—	—	Aug 3, 2024	Common Stock	60,000	—	D
Common Stock Purchase Warrant^F1,F3	$0.2451	holding	—	—	—	Jul 31, 2014	Feb 2, 2024	Common Stock	255,120	—	I
Common Stock Purchase Warrant^F1	$2.00	holding	—	—	—	Jul 31, 2014	Jul 30, 2019	Common Stock	1,500,000	—	I

F1The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest of these securities, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F2The option vests and becomes exercisable as follows: (a) 36,667 shares were vested as of August 4, 2014, and (b) 23,333 will vest in 14 equal monthly installments through October 1, 2015. Mr. Wolfe has assigned the economic benefit of the option to Harris & Harris Group, Inc.
F3Represents a warrant issued to Harris & Harris Group, Inc. in exchange for a warrant previously issued by Enumeral Biomedical Corp. (the "Predecessor") pursuant to the terms of the merger of the Predecessor with a wholly-owned subsidiary of the Issuer.