0001019056-17-000305.txt : 20170320 0001019056-17-000305.hdr.sgml : 20170320 20170320084522 ACCESSION NUMBER: 0001019056-17-000305 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170313 FILED AS OF DATE: 20170320 DATE AS OF CHANGE: 20170320 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Kadmon Holdings, Inc. CENTRAL INDEX KEY: 0001557142 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 273576929 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 450 EAST 29TH STREET CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 212-308-6000 MAIL ADDRESS: STREET 1: 450 EAST 29TH STREET CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: Kadmon Holdings, LLC DATE OF NAME CHANGE: 20120829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EDELMAN JOSEPH CENTRAL INDEX KEY: 0001164426 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 17700150 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 3 1 kadmon_3.xml OWNERSHIP DOCUMENT X0206 3 2017-03-13 0 0001557142 Kadmon Holdings, Inc. KDMN 0001164426 EDELMAN JOSEPH C/O PERCEPTIVE ADVISORS LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 Common Stock 4955474 I See Footnotes Warrants 4.50 2018-04-13 Common Stock 464571 I See Footnotes This Form 3 is being filed by Joseph Edelman. Mr. Edelman is the managing member of Perceptive Advisors, LLC (the "Advisor"). The Advisor serves as the investment manager to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). The Advisor also serves as the investment manager to a managed account (the "Managed Account") that holds securities of the Issuer listed above. Such securities are not listed due to the exemption available under Rule 16a-1(a)(2)(ii)(C) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). This amount reflects the amount of securities held by the Master Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 3, the entire amount of the Issuer's securities held by Master Fund is reported herein. Mr. Edelman disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. The warrants listed are held by the Master Fund and are not currently exercisable. As a result, the warrants were not included when calculating Edelman's beneficial ownership of the securities. The Managed Account also holds warrants that are not reported due to the reasons stated in Footnote 1 above. /s/ Joseph Edelman, managing member of Perceptive Advisors LLC 2017-03-17