0001140361-17-026304.txt : 20170627 0001140361-17-026304.hdr.sgml : 20170627 20170627180307 ACCESSION NUMBER: 0001140361-17-026304 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170622 FILED AS OF DATE: 20170627 DATE AS OF CHANGE: 20170627 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: GoldenTree Asset Management LLC CENTRAL INDEX KEY: 0001435627 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 17933311 BUSINESS ADDRESS: STREET 1: 300 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-847-3500 MAIL ADDRESS: STREET 1: 300 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDENTREE ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0001278951 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 17933312 BUSINESS ADDRESS: STREET 1: 300 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128473500 MAIL ADDRESS: STREET 1: 300 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tananbaum Steven A. CENTRAL INDEX KEY: 0001435626 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 17933313 MAIL ADDRESS: STREET 1: 300 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4/A 1 doc1.xml FORM 4/A X0306 4/A 2017-06-22 2017-06-26 0 0001557142 Kadmon Holdings, Inc. KDMN 0001278951 GOLDENTREE ASSET MANAGEMENT LP 300 PARK AVENUE 21ST FLOOR NEW YORK NY 10022 0 0 1 0 0001435627 GoldenTree Asset Management LLC 300 PARK AVENUE 21ST FLOOR NEW YORK NY 10022 0 0 1 0 0001435626 Tananbaum Steven A. 300 PARK AVENUE 21ST FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2017-06-22 4 S 0 18365 3.4992 D 131172 I See footnotes Common Stock 2017-06-22 4 S 0 38610 3.4992 D 275800 I See footnotes Common Stock 2017-06-22 4 S 0 765 3.4992 D 5474 I See footnotes Common Stock 2017-06-22 4 S 0 617868 3.4992 D 3274922 I See footnotes Common Stock 2017-06-22 4 S 0 91755 3.4992 D 655450 I See footnotes Common Stock 148183 I See footnotes Common Stock 75828 I See footnotes Common Stock 1063140 I See footnotes See Exhibit 99.1; footnote (1). See Exhibit 99.1; footnote (2). See Exhibit 99.1; footnote (3). See Exhibit 99.1; footnote (4). See Exhibit 99.1; footnote (5). See Exhibit 99.1; footnote (6). See Exhibit 99.1; footnote (7). See Exhibit 99.1; footnote (8). See Exhibit 99.1; footnote (9). See Exhibit 99.1; footnote (10). List of Exhibits: Exhibit 99.1: Explanation of Responses GoldenTree Asset Management LP, By: GoldenTree Asset Management LLC, its General Partner, By: /s/ Steven A. Tananbaum, its Managing Member 2017-06-27 GoldenTree Asset Management LLC, By: /s/ Steven A. Tananbaum, its Managing Member 2017-06-27 /s/ Steven A. Tananbaum 2017-06-27 EX-99.1 2 g21382989.htm EXPLANATION OF RESPONSES
Explanation of Responses:
(1) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.42 to $3.69, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
(2) This Form 4 is filed on behalf of GoldenTree Asset Management LP (the “Advisor”), GoldenTree Asset Management LLC (the “General Partner”) and Steven A. Tananbaum (collectively, the “Reporting Persons”). The Advisor is the investment manager or advisor to GT NM, LP (“GTNM”), GoldenTree Insurance Fund Series Interests of the SALI Multi-Series Fund, LP (“GTIF”), Goldentree 2004 Trust (“G2T”), GN3 SIP Limited (“GN3”), GoldenTree Entrust Master Fund SPC (“GSPC”) and GoldenTree Master Fund, Ltd. (“GMF” and together with GTNM, GTIF, G2T, GN3 and GSPC the “Funds”), a separately managed account managed by the Advisor (the “First Managed Account”) and a second separately managed account managed by the Advisor (the “Second Managed Account” and together with the First Managed Account, the “Managed Accounts”) and may be deemed to have a pecuniary interest in the securities of the Issuer directly held by the Funds and the Managed Accounts.  The General Partner is the general partner of the Advisor and may be deemed to have a pecuniary interest in the securities reported herein in which the Advisor has a pecuniary interest.  Steven A. Tananbaum is the managing member of the General Partner and may be deemed to have a pecuniary interest in the securities reported herein in which the Advisor and the General Partner have a pecuniary interest.  The Advisor, the General Partner and Mr. Tananbaum disclaim beneficial ownership of the securities held by the Funds and the Managed Accounts..
(3) Common Stock held directly by GTNM.
(4) Common Stock held directly by First Managed Account.
(5) Common Stock held directly by GTIF.
(6) Common Stock held directly by G2T
(7) Common Stock held directly by GN3
(8) Common Stock held directly by Second Managed Account.
(9) Common Stock held directly by GSPC
(10) Common Stock held directly by GMF