0001593968-16-001348.txt : 20161216
0001593968-16-001348.hdr.sgml : 20161216
20161216202119
ACCESSION NUMBER: 0001593968-16-001348
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161215
FILED AS OF DATE: 20161216
DATE AS OF CHANGE: 20161216
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gordon Steven N.
CENTRAL INDEX KEY: 0001678737
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37841
FILM NUMBER: 162057645
MAIL ADDRESS:
STREET 1: C/O KADMON HOLDINGS, LLC
STREET 2: 450 E 29TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10016
4
1
primary_01.xml
PRIMARY DOCUMENT
X0306
4
2016-12-15
0001557142
Kadmon Holdings, Inc.
KDMN
0001678737
Gordon Steven N.
C/O KADMON HOLDINGS, INC.
450 E. 29TH STREET
NEW YORK
NY
10016
false
true
false
false
Exec VP, GC, Chief Admin, Comp
Stock Option (right to buy)
4.66
2016-12-15
4
A
false
250000
4.66
A
2026-12-15
Common Stock, par value $0.001
250000
250000
D
The option becomes vested and exercisable in three equal annual installments over 3 years from December 15, 2016, the date of grant, with vesting to accelerate if employment ends for any reason other than a termination for Cause, as defined in the relevant employment agreement.
Only represents derivative securities of this class.
/s/Steven N. Gordon, Attorney-in-Fact
2016-12-16
EX-24
2
poa_gordon.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 Konstantin Poukalov and Steven N. Gordon, 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-infact'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 theforegoing 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 acknowledgesthat 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.
[Signature page follows.]
IN WITNESS WHEREOF, the undersigned has caused this Limited Power of
Attorney to be executed as of this 27 day of June, 2016.
/s/ Steven N. Gordon
Signature
Steven N. Gordon
Print Name