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