SEC Form 4 · accession 0001140361-17-012177

Kadmon Holdings, Inc. · KDMN

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

Reporting owners

10% Owner

10% Owner

Period of report

Mar 13, 2017

Accepted (ET)

Mar 15, 2017 · 6:35 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 share^F1	Mar 13, 2017	P	1,488,095	$3.36	A	9,407,745	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant to Purchase Common Stock^F2,F1	$4.50	Mar 13, 2017	P	595,238	A	Mar 13, 2017	Apr 13, 2018	Common Stock	595,238	595,238	I

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.
F2The reported securities were included with the 1,488,095 shares of common stock purchased by the reporting persons for $3.36 per share. Each such purchased share of common stock was issued with a warrant to purchase 0.40 shares of common stock.

List of Exhibits: Exhibit 99.1 - Joint Filer Information