SEC Form 4 · accession 0001140361-17-026305
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
Jun 23, 2017
Accepted (ET)
Jun 27, 2017 · 6:07 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 StockF1,F3,F4 | Jun 23, 2017 | S | 8,631 | $3.4574 | D | 122,541 | I | See footnotes |
| Common StockF1,F3,F5 | Jun 23, 2017 | S | 18,146 | $3.4574 | D | 257,654 | I | See footnotes |
| Common StockF1,F3,F6 | Jun 23, 2017 | S | 360 | $3.4574 | D | 5,114 | I | See footnotes |
| Common StockF1,F3,F7 | Jun 23, 2017 | S | 290,416 | $3.4574 | D | 2,984,506 | I | See footnotes |
| Common StockF1,F3,F8 | Jun 23, 2017 | S | 43,126 | $3.4574 | D | 612,324 | I | See footnotes |
| Common StockF1,F3,F9 | Jun 23, 2017 | S | 8,553 | $3.4574 | D | 139,630 | I | See footnotes |
| Common StockF2,F3,F4 | Jun 26, 2017 | S | 3,411 | $3.6574 | D | 119,130 | I | See footnotes |
| Common StockF2,F3,F5 | Jun 26, 2017 | S | 7,171 | $3.6574 | D | 250,483 | I | See footnotes |
| Common StockF2,F3,F6 | Jun 26, 2017 | S | 141 | $3.6574 | D | 4,973 | I | See footnotes |
| Common StockF2,F3,F7 | Jun 26, 2017 | S | 114,760 | $3.6574 | D | 2,869,746 | I | See footnotes |
| Common StockF2,F3,F8 | Jun 26, 2017 | S | 17,042 | $3.6574 | D | 595,282 | I | See footnotes |
| Common StockF2,F3,F9 | Jun 26, 2017 | S | 3,886 | $3.6574 | D | 135,744 | I | See footnotes |
| Common StockF3,F10 | holding | — | — | — | 75,828 | I | See footnotes | |
| Common StockF3,F11 | holding | — | — | — | 1,063,140 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1See Exhibit 99.1; footnote (1).
- F10See Exhibit 99.1; footnote (10).
- F11See Exhibit 99.1; footnote (11).
- 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).
- F8See Exhibit 99.1; footnote (8).
- F9See Exhibit 99.1; footnote (9).
Remarks
List of Exhibits: Exhibit 99.1: Explanation of Responses