SEC Form 4/A · accession 0001140361-17-035556
Kadmon Holdings, Inc. · KDMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
GOLDENTREE ASSET MANAGEMENT LP
10% Owner
Steven A. Tananbaum
10% Owner
GoldenTree Asset Management LLC
10% Owner
Period of report
Jun 29, 2017
Accepted (ET)
Sep 14, 2017 · 5:22 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,F2,F3 | Jun 29, 2017 | S | 1,501 | $4.0448 | D | 115,094 | I | See footnotes |
| Common StockF1,F2,F4 | Jun 29, 2017 | S | 3,155 | $4.0448 | D | 241,997 | I | See footnotes |
| Common StockF1,F2,F5 | Jun 29, 2017 | S | 62 | $4.0448 | D | 4,806 | I | See footnotes |
| Common StockF1,F2,F6 | Jun 29, 2017 | S | 50,490 | $4.0448 | D | 2,733,955 | I | See footnotes |
| Common StockF1,F2,F7 | Jun 29, 2017 | S | 7,498 | $4.0448 | D | 575,117 | I | See footnotes |
| Common StockF1,F2,F8 | Jun 29, 2017 | S | 1,709 | $4.0448 | D | 131,147 | I | See footnotes |
| Common StockF2,F9 | holding | — | — | — | 75,828 | I | See footnotes | |
| Common StockF2,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