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