0001593968-20-001855.txt : 20200910
0001593968-20-001855.hdr.sgml : 20200910
20200910170227
ACCESSION NUMBER: 0001593968-20-001855
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200910
FILED AS OF DATE: 20200910
DATE AS OF CHANGE: 20200910
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: 201169184
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
2020-09-10
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
2020-09-10
4
A
false
109167
A
2020-09-10
2028-04-03
Common Stock, par value $0.001
109167
655002
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, 2020, pursuant to the aforementioned vesting schedule.
Only represents derivative securities of this class.
/s/ Gregory S. Moss, Attorney-in-Fact
2020-09-10