SEC Form 4 · accession 0000930413-19-000105
ENZO BIOCHEM INC · ENZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elazar Rabbani
Officer — Chm of the Bd, CEO and Sec · Director
Period of report
Jan 14, 2019
Accepted (ET)
Jan 18, 2019 · 4:31 pm EST
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 StockF2 | Jan 14, 2019 | M | 2,782 | $2.70 | A | 1,661,003 | 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)F1 | $2.70 | Jan 14, 2019 | M | 41,634 | D | — | Jan 17, 2019 | Common Stock | 41,634 | 180,615 | D |
Explanation of responses
- F1Represents an exercise of options to acquire 41,634 shares, which, after the company withheld the exercise price for such options and the applicable taxes, resulted in a delivery of 2,782 shares to Dr. Rabbani.
- F2Includes (i) 5,308 shares held in the name of Dr. Rabbani as custodian for certain of his children, and of which Dr. Rabbani disclaims beneficial ownership, (ii) 18,794 shares held in the name of Dr. Rabbani's wife as custodian for certain of their children, and of which Dr. Rabbani disclaims beneficial ownership and (iii) 33,550 shares held in the company's 401(k) plan.