0001593968-18-001609.txt : 20181218 0001593968-18-001609.hdr.sgml : 20181218 20181218112448 ACCESSION NUMBER: 0001593968-18-001609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180329 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 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: 181239746 MAIL ADDRESS: STREET 1: C/O KADMON HOLDINGS, LLC STREET 2: 450 E 29TH STREET CITY: NEW YORK STATE: NY ZIP: 10016 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 2018-03-29 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 Common Stock, par value $0.001 2018-03-29 4 A false 1200 2.85 A 86625 D Common Stock, par value $0.001 2018-09-28 4 A false 704 2.84 A 86625 D Option (right to buy) 2.47 2018-12-14 4 A false 100000 2.47 A 2019-12-14 2028-12-14 Common Stock, par value $0.001 100000 100000 D The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of October 1, 2017 through March 31, 2018. This transaction is also exempt under Rule 16b-3(c). The reporting person is voluntarily reporting this transaction on December 18, 2018, but the actual transaction took place on March 29, 2018, the last trading day of the option period under the ESPP. In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing stock price on September 29, 2017, the last business day before the first trading day of the option period. The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of April 1, 2018 through September 30, 2018. This transaction is also exempt under Rule 16b-3(c). The reporting person is voluntarily reporting this transaction on December 18, 2018, but the actual transaction took place on September 28, 2018, the last trading day of the option period under the ESPP. In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing stock price on September 28, 2018, the last business day before the first trading day of the option period. Only represents derivative securities of this class. /s/Steven N. Gordon 2018-12-18