0001104659-21-136412.txt : 20211109
0001104659-21-136412.hdr.sgml : 20211109
20211109174211
ACCESSION NUMBER: 0001104659-21-136412
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211109
FILED AS OF DATE: 20211109
DATE AS OF CHANGE: 20211109
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Waksal Harlan
CENTRAL INDEX KEY: 0001449008
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37841
FILM NUMBER: 211393509
MAIL ADDRESS:
STREET 1: WAKSAL CONSULTING LLC
STREET 2: 7 NORTH WILLOW STREET, SUITE 6
CITY: MONTCLAIR
STATE: NJ
ZIP: 07042
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: 833-900-5366
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
4
1
tm2131118-11_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-11-09
1
0001557142
Kadmon Holdings, Inc.
KDMN
0001449008
Waksal Harlan
C/O KADMON HOLDINGS, INC.
450 E. 29TH STREET
NEW YORK
NY
10016
1
1
0
0
President, CEO
Common Stock
2021-11-09
4
D
0
177945
9.50
D
0
D
Stock Appreciation Right
3.64
2021-11-09
4
D
0
655000
5.86
A
2027-12-08
Common Stock, par value $0.001
655000
0
D
Performance Stock Option(right to buy)
4.06
2021-11-09
4
D
0
982500
5.44
A
2028-04-03
Common Stock, par value $0.001
982500
0
D
Stock Option (right to buy)
4.15
2021-11-09
4
D
0
1350000
5.35
A
2029-11-19
Common Stock, par value $0.001
1350000
0
D
Stock Option (right to buy)
3.96
2021-11-09
4
D
0
2000000
5.54
A
2031-01-08
Common Stock, par value $0.001
2000000
0
D
Equity Appreciation Rights Unit
6.00
2021-11-09
4
D
0
750
3.50
A
2024-12-31
Common Stock, par value $0.001
750
0
D
Disposed pursuant to the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger (the "Merger").
In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award.
Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR.
/s/ Gregory S. Moss, Attorney-in-Fact
2021-11-09