SEC Form 4 · accession 0001140361-17-014677
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
Period of report
Mar 31, 2017
Accepted (ET)
Apr 4, 2017 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001557142
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 Warrants (right to buy)F1,F2,F4,F3 | $10.20 | Mar 31, 2017 | J | 1,306 | D | — | Aug 28, 2022 | Common Stock | 1,306 | 0 | I |
| 2015 Warrants (right to buy)F1,F2,F5,F3 | $10.20 | Mar 31, 2017 | J | 2,595 | D | — | Aug 28, 2022 | Common Stock | 2,595 | 0 | I |
| 2015 Warrants (right to buy)F1,F2,F6,F3 | $10.20 | Mar 31, 2017 | J | 2,895 | D | — | Aug 28, 2022 | Common Stock | 2,895 | 0 | I |
| 2015 Warrants (right to buy)F1,F2,F7,F3 | $10.20 | Mar 31, 2017 | J | 81,442 | D | — | Aug 28, 2022 | Common Stock | 81,442 | 0 | I |
| 2015 Warrants (right to buy)F1,F2,F4,F3 | $4.50 | Mar 31, 2017 | J | 1,306 | A | — | Aug 28, 2022 | Common Stock | 1,306 | 1,306 | I |
| 2015 Warrants (right to buy)F1,F2,F5,F3 | $4.50 | Mar 31, 2017 | J | 2,595 | A | — | Aug 28, 2022 | Common Stock | 2,595 | 2,595 | I |
| 2015 Warrants (right to buy)F1,F2,F6,F3 | $4.50 | Mar 31, 2017 | J | 2,895 | A | — | Aug 28, 2022 | Common Stock | 2,895 | 2,895 | I |
| 2015 Warrants (right to buy)F1,F2,F7,F3 | $4.50 | Mar 31, 2017 | J | 81,442 | A | — | Aug 28, 2022 | Common Stock | 81,442 | 81,442 | I |
Explanation of responses
- F1See Exhibit 99.1; footnote (1).
- F2See Exhibit 99.1; footnote (2).
- F3See Exhibit 99.1; footnote (3).
- F4See Exhibit 99.1; footnote (4).
- F5See Exhibit 99.1; footnote (5).
- F6See Exhibit 99.1; footnote (6).
- F7See Exhibit 99.1; footnote (7).
Remarks
List of Exhibits: Exhibit 99.1: Explanation of Responses