SEC Form 4 · accession 0000930413-17-003670
ENZO BIOCHEM INC · ENZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Michael O'Brien
Officer — EVP of Finance
Period of report
Oct 27, 2017
Accepted (ET)
Oct 30, 2017 · 9:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000316253
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 27, 2017 | M | 6,699 | $2.75 | A | 34,886 | D | |
| Common Stock | Oct 27, 2017 | M | 7,500 | $3.40 | A | 42,386 | D | |
| Common Stock | Oct 27, 2017 | M | 8,667 | $4.35 | A | 51,053 | D | |
| Common StockF1 | Oct 27, 2017 | S | 6,699 | $10.28 | D | 44,354 | D | |
| Common StockF1 | Oct 27, 2017 | S | 7,500 | $10.28 | D | 36,854 | D | |
| Common StockF1 | Oct 27, 2017 | S | 8,667 | $10.28 | D | 28,187 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (to acquire common stock) | $2.75 | Oct 27, 2017 | M | 6,699 | D | Feb 4, 2015 | Feb 3, 2019 | Common Stock | 6,699 | 68,501 | D |
| Stock Option (to acquire common stock) | $3.40 | Oct 27, 2017 | M | 7,500 | D | Jan 22, 2016 | Jan 21, 2020 | Common Stock | 7,500 | 61,001 | D |
| Stock Option (to acquire common stock) | $4.35 | Oct 27, 2017 | M | 8,667 | D | Mar 15, 2017 | Mar 15, 2021 | Common Stock | 8,667 | 52,334 | D |
Explanation of responses
- F1The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.