0001290929-23-000001.txt : 20230109 0001290929-23-000001.hdr.sgml : 20230109 20230109144830 ACCESSION NUMBER: 0001290929-23-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221028 FILED AS OF DATE: 20230109 DATE AS OF CHANGE: 20230109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wolf James G. CENTRAL INDEX KEY: 0001419248 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09974 FILM NUMBER: 23517786 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 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2022-10-28 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 3560000 D Common Stock, $0.01 par value 116000 I See Footnote (1) Common Stock, $0.01 par value 22000 I See Footnote (2) Common Stock, $0.01 par value 110000 I See Footnote (3) Common Stock, $0.01 par value 170500 I See Footnote (4) Long Call Option (right to buy) 2.5 2022-10-28 2023-01-20 Common Stock 275000 D Long Call Option (right to buy) 5 2022-10-28 2023-01-20 Common Stock 200000 D Long Call Option (right to buy) 2.5 2022-10-28 2023-04-21 Common Stock 75000 D Long Call Option (right to buy) 5 2022-10-28 2023-04-21 Common Stock 80700 D Long Call Option (right to buy) 7.5 2022-10-28 2023-04-21 Common Stock 75000 D Short Put Option (obligation to buy) 2.5 2022-10-28 2023-01-20 Common Stock 400000 D Short Put Option (obligation to buy) 5 2022-10-28 2023-01-20 Common Stock 34500 D Short Put Option (obligation to buy) 2.5 2022-10-28 2023-04-21 Common Stock 30000 D These shares are held in qualified retirement accounts in the name, and for the benefit of, the Reporting Person. These shares are held in a qualified retirement account in the name, and for the benefit, of the Reporting Person's spouse. The Reporting Person has dispositive and voting control over the retirement account. The Reporting Person disclaims beneficial ownership of the securities held by this retirement account, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. These shares are held directly by 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 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 of 1934, as amended, or for any other purpose. These shares are held directly by the Reporting Person's adult children, each holding a portion of the shares individually. The Reporting Person maintains powers 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 of 1934, as amended, or for any other purpose. Each call option may be exercised from the date it was purchased through the expiration date of the call option. Each put option may be exercised by the owner of the option at any time from the date of its sale through the expiration date of the put option. James G. Wolf 2023-01-09