SEC Form 4 · accession 0001140361-17-034858

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

Aug 8, 2017

Accepted (ET)

Sep 7, 2017 · 7:26 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^F1,F2,F3	Aug 8, 2017	S	2,415	$2.5493	D	2,412,427	I	See Footnotes
Common Stock^F1,F2,F4	Aug 8, 2017	S	296	$2.5493	D	538,459	I	See Footnotes
Common Stock^F1,F2,F5	Aug 8, 2017	S	69	$2.5493	D	122,480	I	See Footnotes
Common Stock^F1,F2,F6	Aug 8, 2017	S	53	$2.5493	D	108,830	I	See Footnotes
Common Stock^F1,F2,F7	Aug 8, 2017	S	117	$2.5493	D	228,041	I	See Footnotes
Common Stock^F2,F3	Sep 5, 2017	S	81,874	$2.7601	D	2,330,553	I	See footnotes
Common Stock^F2,F4	Sep 5, 2017	S	10,044	$2.7601	D	528,415	I	See footnotes
Common Stock^F2,F5	Sep 5, 2017	S	2,348	$2.7601	D	120,132	I	See footnotes
Common Stock^F2,F6	Sep 5, 2017	S	1,776	$2.7601	D	107,054	I	See footnotes
Common Stock^F2,F7	Sep 5, 2017	S	3,958	$2.7601	D	224,083	I	See footnotes
Common Stock^F2,F3	Sep 6, 2017	S	81,874	$2.76	D	2,248,679	I	See footnotes
Common Stock^F2,F4	Sep 6, 2017	S	10,044	$2.76	D	518,371	I	See footnotes
Common Stock^F2,F5	Sep 6, 2017	S	2,348	$2.76	D	117,784	I	See footnotes
Common Stock^F2,F6	Sep 6, 2017	S	1,776	$2.76	D	105,278	I	See footnotes
Common Stock^F2,F7	Sep 6, 2017	S	3,958	$2.76	D	220,125	I	See footnotes
Common Stock^F2,F3	Sep 6, 2017	S	40,937	$2.74	D	2,207,742	I	See footnotes
Common Stock^F2,F4	Sep 6, 2017	S	5,022	$2.74	D	513,349	I	See footnotes
Common Stock^F2,F5	Sep 6, 2017	S	1,174	$2.74	D	116,610	I	See footnotes
Common Stock^F2,F6	Sep 6, 2017	S	888	$2.74	D	104,390	I	See footnotes
Common Stock^F2,F7	Sep 6, 2017	S	1,979	$2.74	D	218,146	I	See footnotes
Common Stock^F2,F3	Sep 6, 2017	S	40,937	$2.62	D	2,166,805	I	See footnotes
Common Stock^F2,F4	Sep 6, 2017	S	5,022	$2.62	D	508,327	I	See footnotes
Common Stock^F2,F5	Sep 6, 2017	S	1,174	$2.62	D	115,436	I	See footnotes
Common Stock^F2,F6	Sep 6, 2017	S	888	$2.62	D	103,502	I	See footnotes
Common Stock^F2,F7	Sep 6, 2017	S	1,979	$2.62	D	216,167	I	See footnotes
Common Stock^F2,F8	holding	—	—		—	4,806	I	See footnotes
Common Stock^F2,F9	holding	—	—		—	75,828	I	See footnotes
Common Stock^F2,F10	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).
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