SEC Form 3 · accession 0000899243-16-025741

Kadmon Holdings, Inc. · KDMN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

GOLDENTREE ASSET MANAGEMENT LP

10% Owner

Steven A. Tananbaum

10% Owner

GoldenTree Asset Management LLC

10% Owner

Treacy Gaffney

10% Owner

Period of report

Jul 26, 2016

Accepted (ET)

Jul 26, 2016 · 9:31 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001557142

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.001 ("Common Stock")^F1,F2,F3	holding	—	—	—	174,255	I	See Footnotes
Common Stock^F1,F2,F4	holding	—	—	—	107,292	I	See Footnotes
Common Stock^F1,F2,F5	holding	—	—	—	4,035	I	See Footnotes
Common Stock^F1,F2,F6	holding	—	—	—	4,983	I	See Footnotes
Common Stock^F1,F2,F7	holding	—	—	—	3,219	I	See Footnotes
Common Stock^F1,F2,F8	holding	—	—	—	322	I	See Footnotes
Common Stock^F1,F2,F9	holding	—	—	—	65,883	I	See Footnotes
Common Stock^F1,F2,F10	holding	—	—	—	909,792	I	See Footnotes
Common Stock^F11,F2	holding	—	—	—	4,346	I	See Footnotes

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2013/2014 Warrants (right to buy)^F2,F13,F12	—	holding	—	—	—	Nov 26, 2014	Jun 17, 2023	Common Stock	16,253	—	I
2013/2014 Warrants (right to buy)^F2,F14,F12	—	holding	—	—	—	Nov 26, 2014	Jun 17, 2023	Common Stock	104,219	—	I
2013/2014 Warrants (right to buy)^F2,F15,F12	—	holding	—	—	—	Nov 26, 2014	Jun 17, 2023	Common Stock	5,817	—	I
2013/2014 Warrants (right to buy)^F2,F16,F12	—	holding	—	—	—	Nov 26, 2014	Jun 17, 2023	Common Stock	5,301	—	I
2015 Warrants (right to buy)^F2,F18,F17	—	holding	—	—	—	—	Aug 28, 2022	Common Stock	1,306	—	I
2015 Warrants (right to buy)^F2,F19,F17	—	holding	—	—	—	—	Aug 28, 2022	Common Stock	2,595	—	I
2015 Warrants (right to buy)^F2,F20,F17	—	holding	—	—	—	—	Aug 28, 2022	Common Stock	2,895	—	I
2015 Warrants (right to buy)^F2,F21,F17	—	holding	—	—	—	—	Aug 28, 2022	Common Stock	81,442	—	I
Senior Convertible Term Loan^F2,F24,F22	—	holding	—	—	—	Jun 17, 2013	—	Common Stock	—	—	I
Senior Convertible Term Loan^F2,F25,F22	—	holding	—	—	—	Jun 17, 2013	—	Common Stock	—	—	I
Senior Convertible Term Loan^F2,F26,F22	—	holding	—	—	—	Jun 17, 2013	—	Common Stock	—	—	I
Senior Convertible Term Loan^F2,F27,F22	—	holding	—	—	—	Jun 17, 2013	—	Common Stock	—	—	I
Senior Convertible Term Loan^F2,F28,F22	—	holding	—	—	—	Jun 17, 2013	—	Common Stock	—	—	I

Explanation of responses

F1See Exhibit 99.2; footnote (1).
F10See Exhibit 99.2; footnote (10).
F11See Exhibit 99.2; footnote (11).
F12See Exhibit 99.2; footnote (12).
F13See Exhibit 99.2; footnote (13).
F14See Exhibit 99.2; footnote (14).
F15See Exhibit 99.2; footnote (15).
F16See Exhibit 99.2; footnote (16).
F17See Exhibit 99.2; footnote (17).
F18See Exhibit 99.2; footnote (18).
F19See Exhibit 99.2; footnote (19).
F2See Exhibit 99.2; footnote (2).
F20See Exhibit 99.2; footnote (20).
F21See Exhibit 99.2; footnote (21).
F22See Exhibit 99.2; footnote (22).
F23See Exhibit 99.2; footnote (23).
F24See Exhibit 99.2; footnote (24).
F25See Exhibit 99.2; footnote (25).
F26See Exhibit 99.2; footnote (26).
F27See Exhibit 99.2; footnote (27).
F28See Exhibit 99.2; footnote (28).
F3See Exhibit 99.2; footnote (3).
F4See Exhibit 99.2; footnote (4).
F5See Exhibit 99.2; footnote (5).
F6See Exhibit 99.2; footnote (6).
F7See Exhibit 99.2; footnote (7).
F8See Exhibit 99.2; footnote (8).
F9See Exhibit 99.2; footnote (9).

Remarks

This filing reflects the conversion of Kadmon Holdings, LLC, a Delaware limited liability company, into Kadmon Holdings, Inc., a Delaware corporation, pursuant to a statutory conversion set to occur on or about July 26, 2016. List of Exhibits: Exhibit 99.1 - Joint Filer Information; Exhibit 99.2 - Explanation of Responses solely for purposes of Section 16 of the Exchange Act.