0001593968-19-001871.txt : 20190910
0001593968-19-001871.hdr.sgml : 20190910
20190910161553
ACCESSION NUMBER: 0001593968-19-001871
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190910
FILED AS OF DATE: 20190910
DATE AS OF CHANGE: 20190910
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: 191085520
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: 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
4
1
primary_01.xml
PRIMARY DOCUMENT
X0306
4
2019-09-10
0001557142
Kadmon Holdings, Inc.
KDMN
0001449008
Waksal Harlan
C/O KADMON HOLDINGS, INC.
450 E. 29TH STREET
NEW YORK
NY
10016
true
true
false
false
President, CEO
Performance Stock Option (right to buy)
4.06
2019-09-10
4
A
false
109167
A
2019-09-10
2028-04-03
Common Stock, par value $0.001
109167
436668
D
On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance goals related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement of the performance goals and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first, second and third performance goals have been met, and 109,167 Performance Options vested on September 10, 2019.
Only represents derivative securities of this class.
/s/ Gregory S. Moss, Attorney-in-Fact
2019-09-10
EX-24
2
poa_waksal2019.txt
EX-24 DOCUMENT
LIMITED POWER OF ATTORNEY
FOR SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned hereby makes, constitutes
and appoints each of Steven Meehan and Gregory S. Moss, signing singly and
each
acting individually, as the undersigned's true and lawful attorney-in-fact
with full power and authority as hereinafter described to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of Kadmon Holdings, Inc. (the
"Company"), Forms 3, 4
and 5 (including any amendments thereto) in accordance with Section 16(a)
of the Securities Exchange Act of 1934 and the rules thereunder (the
"Exchange Act");
(2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to prepare, complete and execute any
such Form 3, 4, or
5, prepare, complete and execute any amendment or amendments thereto, and
timely deliver and file such form with the United States Securities and
Exchange Commission
(the "SEC") and any stock exchange or similar authority, including without
limitation the filing of a Form ID or any other application materials to
enable the
undersigned to gain or maintain access to the Electronic Data Gathering,
Analysis and Retrieval system of the SEC;
(3) seek or obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in the Company's
securities from any
third party, including brokers, employee benefit plan administrators and
trustees, and the undersigned hereby authorizes any such person to release
any such
information to such attorney-in-fact and approves and ratifies any such
release of information; and
(4) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit
to, in the best
interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant
to this Limited Power of Attorney shall be in such form and shall contain
such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's
discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever
requisite, necessary,
or proper to be done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the undersigned might or
could do if
personally present, with full power of substitution or revocation, hereby
ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's
substitute or substitutes, shall lawfully do or cause to be done by virtue
of this Limited Power of Attorney and the rights and powers herein granted.
The
undersigned acknowledges that the foregoing attorneys-in-fact, in serving
in such capacity at the request of the undersigned, are not assuming nor
relieving, nor is
the Company assuming nor relieving, any of the undersigned's
responsibilities to comply with Section 16 of the Exchange Act. The
undersigned acknowledges that neither
the Company nor the foregoing attorneys-in-fact assume (i) any liability
for the undersigned's responsibility to comply with the requirement of the
Exchange Act,
(ii) any liability of the undersigned for any failure to comply with such
requirements, or (iii) any obligation or liability of the undersigned for
profit
disgorgement under Section 16(b) of the Exchange Act.
This Limited Power of Attorney shall remain in full force and effect until
the undersigned is no longer required to file Forms 3, 4, and 5 with
respect to the
undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing
delivered to the
foregoing attorneys-in-fact. This Limited Power of Attorney shall supersede
and replace in its entirety any and all previously executed limited power's
of attorney
between the undersigned and the Company.
[Signature page follows.]
IN WITNESS WHEREOF, the undersigned has caused this Limited Power of
Attorney to be executed as of this 12th day of June, 2019.
/s/ Harlan W. Waksal
Signature
Harlan W. Waksal
Print Name