SEC Form 4 · accession 0001140361-16-077497
Kadmon Holdings, Inc. · KDMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 18, 2016
Accepted (ET)
Aug 22, 2016 · 7:37 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, $0.001 par value per shareF1 | Aug 18, 2016 | P | 1,262 | $10.00 | A | 7,706,645 | I | See footnote |
| Common Stock, $0.001 par value per shareF1 | Aug 19, 2016 | P | 10,000 | $9.9993 | A | 7,716,645 | I | See footnote |
| Common Stock, $0.001 par value per shareF1 | Aug 22, 2016 | P | 43 | $10.00 | A | 7,716,688 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.
Remarks
List of Exhibits: Exhibit 99.1 - Joint Filer Information