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