SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
HARBERT MANAGEMENT CORP

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ENZO BIOCHEM INC [ ENZ ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
05/20/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.01 par value 05/20/2019 P 14,132 A $3.61 5,067,219 I See footnote(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
1. Name and Address of Reporting Person*
HARBERT MANAGEMENT CORP

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Harbert Discovery Fund, LP

(Last) (First) (Middle)
HARBERT DISCOVERY FUND GP, LLC
2100 THIRD AVENUE NORTH, SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
HARBERT DISCOVERY FUND GP, LLC

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
HARBERT DISCOVERY CO-INVESTMENT FUND I GP, LLC

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
HARBERT FUND ADVISORS, INC.

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
BRYANT JOHN F.

(Last) (First) (Middle)
C/O HARBERT MANAGEMENT CORPORATION
2100 THIRD AVENUE NORTH, SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
LUCAS KENAN

(Last) (First) (Middle)
C/O HARBERT MANAGEMENT CORPORATION
2100 THIRD AVENUE NORTH, SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
1. Name and Address of Reporting Person*
HARBERT RAYMOND J

(Last) (First) (Middle)
2100 THIRD AVENUE NORTH
SUITE 600

(Street)
BIRMINGHAM AL 35203

(City) (State) (Zip)
Explanation of Responses:
1. The securities reported herein are held by Harbert Discovery Fund, LP (the "Discovery Fund") and Harbert Discovery Co-Investment Fund I, LP (the "Discovery Co-Investment Fund" and together with the Discovery Fund, the "Funds"). Harbert Discovery Fund GP, LLC ( the "Discovery Fund GP") is the general partner of the Discovery Fund, and Harbert Discovery Co-Investment Fund I GP, LLC is the general partner of the Discovery Co-Investment Fund (and together with Harbert Discovery Fund GP, the "Fund GPs"). Harbert Fund Advisors, Inc. is the investment adviser to the Funds. Harbert Management Corporation ("HMC") is the managing member of the Fund GPs. Jack Bryant is a Senior Advisor to the Discovery Fund, and a Vice President and Senior Managing Director of HMC. Kenan Lucas is the managing director and portfolio manager of the Funds. Raymond Harbert is the controlling shareholder, Chairman and Chief Executive Officer of HMC.
Remarks:
Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Harbert Discovery Fund, LP, By: Harbert Discovery Fund GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel 05/22/2019
Harbert Discovery Fund GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel 05/22/2019
Harbert Discovery Co-Investment Fund I, LP, By: Harbert Discovery Co-Investment Fund I GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel 05/22/2019
Harbert Discovery Co-Investment Fund I GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel 05/22/2019
Harbert Fund Advisors, Inc., By: /s/ John McCullough, Executive Vice President and General Counsel 05/22/2019
Harbert Management Corporation, By: /s/ John McCullough, Executive Vice President and General Counsel 05/22/2019
/s/ Jack Bryant 05/22/2019
/s/ Kenan Lucas 05/22/2019
/s/Raymond Harbert 05/22/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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