0001290929-23-000005.txt : 20230119 0001290929-23-000005.hdr.sgml : 20230119 20230119143758 ACCESSION NUMBER: 0001290929-23-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221031 FILED AS OF DATE: 20230119 DATE AS OF CHANGE: 20230119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wolf James G. CENTRAL INDEX KEY: 0001419248 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09974 FILM NUMBER: 23537075 MAIL ADDRESS: STREET 1: 105, FLYWAY DRIVE CITY: KIAWAH ISLAND STATE: SC ZIP: 29455 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENZO BIOCHEM INC CENTRAL INDEX KEY: 0000316253 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 132866202 STATE OF INCORPORATION: NY FISCAL YEAR END: 0731 BUSINESS ADDRESS: STREET 1: 60 EXECUTIVE BLVD CITY: FARMINGDALE STATE: NY ZIP: 11735 BUSINESS PHONE: 5167555500 MAIL ADDRESS: STREET 1: ENZO BIOCHEM INC STREET 2: 60 EXECUTIVE BLVD CITY: FARMINGDALE STATE: NY ZIP: 11735 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2022-10-31 0 0000316253 ENZO BIOCHEM INC ENZ 0001419248 Wolf James G. 105, FLYWAY DRIVE KIAWAH ISLAND SC 29455 0 0 1 0 Common Stock, $0.01 par value 2022-11-17 4 C 0 300 2.5 A 3535300 D Common Stock, $0.01 par value 2022-11-21 4 C 0 24700 2.5 A 3560000 D Common Stock, $0.01 par value 2022-12-14 4 C 0 136200 2.5 A 3696200 D Common Stock, $0.01 par value 2022-12-15 4 C 0 85100 2.5 A 3781300 D Common Stock, $0.01 par value 2022-12-16 4 C 0 33700 2.5 A 3815000 D Common Stock, $0.01 par value 2022-11-01 4 P 0 5000 2.14 A 400500 I See Footnote Common Stock, $0.01 par value 2022-10-31 4 P 0 14500 2.15 A 415000 I See Footnote Common Stock, $0.01 par value 2022-11-01 4 P 0 3500 2.15 A 418500 I See Footnote Long Call Option (right to buy) 2.5 2022-11-01 4 P 0 500 0.44 A 2022-11-01 2023-01-20 Common Stock, $0.01 par value 50000 3250 D Short Put Option (obligation to buy) 2.5 2022-11-01 4 S 0 500 0.69 A 2022-11-01 2023-01-20 Common Stock, $0.01 par value 50000 4500 D Short Put Option (obligation to buy) 2.5 2022-11-01 4 S 0 10 0.8 A 2022-11-01 2023-04-21 Common Stock, $0.01 par value 10000 310 D Long Call Option (right to buy) 2.5 2022-11-01 4 P 0 10 0.65 A 2022-11-01 2023-04-21 Common Stock, $0.01 par value 10000 760 D Short Put Option (obligation to buy) 2.5 2022-11-01 4 S 0 490 0.8 A 2022-11-01 2023-04-21 Common Stock, $0.01 par value 49000 800 D Long Call Option (right to buy) 2.5 2022-11-01 4 P 0 490 0.65 A 2022-11-01 2023-04-21 Common Stock, $0.01 par value 49000 1250 D Long Call Option (right to buy) 2.5 2022-11-03 4 P 0 250 0.42 A 2022-11-03 2023-04-21 Common Stock, $0.01 par value 25000 1050 D Short Put Option (obligation to buy) 2.5 2022-11-03 4 S 0 250 0.62 A 2022-11-03 2023-04-21 Common Stock, $0.01 par value 25000 1050 D Short Put Option (obligation to buy) 2.5 2022-11-03 4 S 0 200 0.64 A 2022-11-03 2023-04-21 Common Stock, $0.01 par value 20000 1250 D Long Call Option (right to buy) 2.5 2022-11-03 4 P 0 200 0.44 A 2022-11-03 2023-04-21 Common Stock, $0.01 par value 20000 1700 D Short Put Option (obligation to buy) 2.5 2022-11-03 4 S 0 9 0.3 A 2022-11-03 2022-11-18 Common Stock, $0.01 par value 900 248 D Short Put Option (obligation to buy) 2.5 2022-11-03 4 S 0 2 0.6 A 2022-11-03 2022-11-18 Common Stock, $0.01 par value 200 250 D Short Put Option (obligation to buy) 2.5 2022-11-17 4 C 0 3 0 D 2022-11-03 2022-11-18 Common Stock, $0.01 par value 300 247 D Short Put Option (obligation to buy) 2.5 2022-11-21 4 C 0 247 0 D 2022-11-03 2022-11-18 Common Stock, $0.01 par value 24700 0 D Long Call Option (right to buy) 2.5 2022-12-05 4 S 0 200 0.25 D 2022-12-05 2023-04-21 Common Stock, $0.01 par value 20000 1500 D Long Call Option (right to buy) 2.5 2022-12-05 4 S 0 57 0.2 D 2022-12-05 2023-04-21 Common Stock, $0.01 par value 5700 1443 D Long Call Option (right to buy) 2.5 2022-12-06 4 S 0 443 0.15 D 2022-12-06 2023-04-21 Common Stock, $0.01 par value 44300 1000 D Short Put Option (obligation to buy) 2.5 2022-12-14 4 C 0 1362 0 D 2022-11-01 2023-01-20 Common Stock, $0.01 par value 136200 3138 D Short Put Option (obligation to buy) 2.5 2022-12-15 4 C 0 851 0 D 2022-11-01 2023-01-20 Common Stock, $0.01 par value 85100 2287 D Short Put Option (obligation to buy) 2.5 2022-12-15 4 S 0 56 1.25 A 2022-12-15 2023-04-21 Common Stock, $0.01 par value 5600 1306 D Short Put Option (obligation to buy) 2.5 2022-12-15 4 S 0 444 1.29 A 2022-12-15 2023-04-21 Common Stock, $0.01 par value 44400 1750 D Short Put Option (obligation to buy) 2.5 2022-12-16 4 C 0 337 0 D 2022-11-01 2023-04-21 Common Stock, $0.01 par value 33700 1413 D Long Call Option (right to buy) 2.5 2022-12-30 4 S 0 6 0.05 D 2022-12-30 2023-01-20 Common Stock, $0.01 par value 600 3244 D The counterparty to certain of the Reporting Person's outstanding short put options exercised such options and the Reporting Person was obliged to purchase these shares at an exercise price of $2.50 per share. This transaction was completed in the name and for the benefit of the Reporting Person's sibling. The Reporting Person maintains a power of attorney granted by the Reporting Person's sibling with respect to these shares, including voting and dispositive power over the shares. The Reporting Person has no pecuniary interest in the shares and disclaims beneficial ownership of the securities held by his sibling. This report will not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. The transaction was completed in the name and for the benefit of one or more of the Reporting Person's adult children. The Reporting Person maintains power of attorney granted by each of his adult children with respect to these shares, including voting and dispositive power over the shares. The Reporting Person has no pecuniary interest in the shares and disclaims beneficial ownership of the securities held by his adult children. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or 1934, as amended, or for any other purpose. The 418,500 shares owned indirectly by the Reporting Person upon completion of this Transaction included 116,000 shares held in qualified retirement accounts in the name, and for the benefit, of the Reporting Person, 22,000 shares held in qualified retirement accounts in the name, and for the benefit, of the Reporting Person's spouse, 110,000 shares owned directly by the Reporting Person's sibling and 170,500 shares owned directly by adult children of the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest. James G. Wolf 2022-01-19