0001593968-21-001092.txt : 20210406 0001593968-21-001092.hdr.sgml : 20210406 20210406162537 ACCESSION NUMBER: 0001593968-21-001092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210403 FILED AS OF DATE: 20210406 DATE AS OF CHANGE: 20210406 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: 21809430 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 primary_01.xml PRIMARY DOCUMENT X0306 4 2021-04-03 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 2021-04-03 4 A false 327498 A 2021-04-03 2028-04-03 Common Stock, par value $0.001 327498 982500 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 327,498 Performance Options vested on April 3, 2021, pursuant to the aforementioned vesting schedule. Only represents derivative securities of this class. /s/ Gregory S. Moss, Attorney-in-Fact 2021-04-06