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