SEC Form 4 · accession 0000899243-16-026172

Kadmon Holdings, Inc. · KDMN

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

Reporting owners

10% Owner

10% Owner

10% Owner

Period of report

Aug 1, 2016

Accepted (ET)

Aug 3, 2016 · 12:05 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001557142

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2,F3	Aug 1, 2016	J	1,068,008	—	A	1,175,300	I	See Footnotes
Common Stock^F1,F2,F4	Aug 1, 2016	J	5,917	—	A	6,239	I	See Footnotes
Common Stock^F1,F2,F5	Aug 1, 2016	J	36,686	—	A	40,721	I	See Footnotes
Common Stock^F1,F2,F6	Aug 1, 2016	J	72,779	—	A	77,762	I	See Footnotes
Common Stock^F7,F2,F8	Aug 1, 2016	J	546,275	—	A	720,530	I	See Footnotes
Common Stock^F7,F2,F3	Aug 1, 2016	J	2,717,490	—	A	3,892,790	I	See Footnotes
Common Stock^F7,F2,F5	Aug 1, 2016	J	102,721	—	A	143,442	I	See Footnotes
Common Stock^F7,F2,F6	Aug 1, 2016	J	224,378	—	A	302,140	I	See Footnotes
Common Stock^F7,F2,F9	Aug 1, 2016	J	144,964	—	A	148,183	I	See Footnotes
Common Stock^F2,F11	Aug 1, 2016	P	9,945	$12.00	A	75,828	I	See Footnotes
Common Stock^F2,F12	Aug 1, 2016	P	12,960	$12.00	A	12,960	I	See Footnotes
Common Stock^F2,F13	Aug 1, 2016	P	140,388	$12.00	A	1,050,180	I	See Footnotes
Common Stock^F2,F8	Aug 1, 2016	P	26,675	$12.00	A	747,205	I	See Footnotes
Common Stock^F2,F5	Aug 1, 2016	P	6,095	$12.00	A	149,537	I	See Footnotes
Common Stock^F2,F6	Aug 1, 2016	P	12,270	$12.00	A	314,410	I	See Footnotes

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Senior Convertible Term Loan^{F15,F14,F2,F8,F7}	—	Aug 1, 2016	J	—	D	Jun 17, 2013	—	Common Stock	—	0	I
Senior Convertible Term Loan^{F15,F14,F2,F3,F7}	—	Aug 1, 2016	J	—	D	Jun 17, 2013	—	Common Stock	—	0	I
Senior Convertible Term Loan^{F15,F14,F2,F5,F7}	—	Aug 1, 2016	J	—	D	Jun 17, 2013	—	Common Stock	—	0	I
Senior Convertible Term Loan^{F15,F14,F2,F6,F7}	—	Aug 1, 2016	J	—	D	Jun 17, 2013	—	Common Stock	—	0	I
Senior Convertible Term Loan^{F15,F14,F2,F9,F7}	—	Aug 1, 2016	J	—	D	Jun 17, 2013	—	Common Stock	—	0	I
5% Convertible Preferred Stock^F7,F2,F8,F16	—	Aug 1, 2016	J	2,969	A	Aug 1, 2016	—	Common Stock	—	2,969	I
5% Convertible Preferred Stock^F7,F2,F3,F16	—	Aug 1, 2016	J	14,773	A	Aug 1, 2016	—	Common Stock	—	14,773	I
5% Convertible Preferred Stock^F7,F2,F5,F16	—	Aug 1, 2016	J	558	A	Aug 1, 2016	—	Common Stock	—	558	I
5% Convertible Preferred Stock^F7,F2,F6,F16	—	Aug 1, 2016	J	1,220	A	Aug 1, 2016	—	Common Stock	—	1,220	I
5% Convertible Preferred Stock^F7,F2,F9,F16	—	Aug 1, 2016	J	788	A	Aug 1, 2016	—	Common Stock	—	788	I

List of Exhibits: Exhibit 99.1 - Explanation of Responses Solely for purposes of Section 16 of the Exchange Act.