SEC Form 3 · accession 0001104659-16-134427
Kadmon Holdings, Inc. · KDMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zhenping Zhu
Officer — Executive VP Biologics
Period of report
Jul 26, 2016
Accepted (ET)
Jul 26, 2016 · 6:38 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, par value $0.001 | holding | — | — | — | 18,462 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $12.00 | holding | — | — | — | Jul 26, 2016 | Aug 11, 2021 | Common Stock, par value $0.001 | 1,924 | — | D |
| Stock Option (right to buy) | $12.00 | holding | — | — | — | Jul 26, 2016 | Jun 25, 2022 | Common Stock, par value $0.001 | 1,539 | — | D |
| Stock Option (right to buy) | $12.00 | holding | — | — | — | Jul 26, 2016 | Dec 19, 2023 | Common Stock, par value $0.001 | 16,155 | — | D |
| Stock Option (right to buy)F1 | $12.00 | holding | — | — | — | — | Dec 31, 2024 | Common Stock, par value $0.001 | 1,539 | — | D |
| Stock Option (right to buy)F2 | $12.00 | holding | — | — | — | — | Dec 31, 2025 | Common Stock, par value $0.001 | 7,693 | — | D |
Explanation of responses
- F1The option becomes exercisable in three equal annual installments over 3 years from December 31, 2014, the date of grant.
- F2The option becomes exercisable in three equal annual installments over 3 years from December 31, 2015, the date of grant.
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.