Form 3 Harbert Fund Advisors, Inc.

Initial statement of beneficial ownership of securities

Published: 2019-05-22 16:45:58
Submitted: 2019-05-22
Period Ending In: 2019-05-20
ownership.html


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SEC FORM 3

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
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. Date of Event Requiring Statement (Month/Day/Year)
05/20/2019
3. Issuer Name and Ticker or Trading Symbol
ENZO BIOCHEM INC [ ENZ ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, $0.01 par value 5,053,087 I See footnote(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
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 3 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 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
ownership.xml
Schema Version:
X0206
Document Type:
3
Period Of Report:
2019-05-20
No Securities Owned:
0

Issuer

Issuer Cik
0000316253
Issuer Name
ENZO BIOCHEM INC
Issuer Trading Symbol
ENZ

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001259933
Rpt Owner Name
HARBERT MANAGEMENT CORP

Reporting Owner Address

Rpt Owner Street1
2100 THIRD AVENUE NORTH
Rpt Owner Street2
SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001626127
Rpt Owner Name
Harbert Discovery Fund, LP

Reporting Owner Address

Rpt Owner Street1
HARBERT DISCOVERY FUND GP, LLC
Rpt Owner Street2
2100 THIRD AVENUE NORTH, SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001642538
Rpt Owner Name
HARBERT DISCOVERY FUND GP, LLC

Reporting Owner Address

Rpt Owner Street1
2100 THIRD AVENUE NORTH
Rpt Owner Street2
SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001771491
Rpt Owner Name
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP

Reporting Owner Address

Rpt Owner Street1
2100 THIRD AVENUE NORTH
Rpt Owner Street2
SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001771499
Rpt Owner Name
HARBERT DISCOVERY CO-INVESTMENT FUND I GP, LLC

Reporting Owner Address

Rpt Owner Street1
2100 THIRD AVENUE NORTH
Rpt Owner Street2
SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001616659
Rpt Owner Name
HARBERT FUND ADVISORS, INC.

Reporting Owner Address

Rpt Owner Street1
2100 THIRD AVENUE NORTH
Rpt Owner Street2
SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001642336
Rpt Owner Name
BRYANT JOHN F.

Reporting Owner Address

Rpt Owner Street1
C/O HARBERT MANAGEMENT CORPORATION
Rpt Owner Street2
2100 THIRD AVENUE NORTH, SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001642389
Rpt Owner Name
LUCAS KENAN

Reporting Owner Address

Rpt Owner Street1
C/O HARBERT MANAGEMENT CORPORATION
Rpt Owner Street2
2100 THIRD AVENUE NORTH, SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Reporting Owner Id

Rpt Owner Cik
0001233571
Rpt Owner Name
HARBERT RAYMOND J

Reporting Owner Address

Rpt Owner Street1
2100 THIRD AVENUE NORTH
Rpt Owner Street2
SUITE 600
Rpt Owner City
BIRMINGHAM
Rpt Owner State
AL
Rpt Owner Zip Code
35203

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Non Derivative Holding

Security Title
Common Stock, $0.01 par value
Shares Owned Following Transaction
5053087

Ownership Nature

Direct Or Indirect Ownership
I

Nature Of Ownership

Value
See footnote
@attributes Id
F1
Footnotes Footnote
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 3 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.

Owner Signature

Signature Name
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
Signature Date
2019-05-22
Signature Name
Harbert Discovery Fund GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel
Signature Date
2019-05-22
Signature Name
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
Signature Date
2019-05-22
Signature Name
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
Signature Date
2019-05-22
Signature Name
Harbert Fund Advisors, Inc., By: /s/ John McCullough, Executive Vice President and General Counsel
Signature Date
2019-05-22
Signature Name
Harbert Management Corporation, By: /s/ John McCullough, Executive Vice President and General Counsel
Signature Date
2019-05-22
Signature Name
/s/ Jack Bryant
Signature Date
2019-05-22
Signature Name
/s/ Kenan Lucas
Signature Date
2019-05-22
Signature Name
/s/Raymond Harbert
Signature Date
2019-05-22
Additional Files
FileSequenceDescriptionTypeSize
0000902664-19-002479.txt   Complete submission text file   19392
$ENZ

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