SEC Form 4 · accession 0001593968-16-001349
Kadmon Holdings, Inc. · KDMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Konstantin Poukalov
Officer — Executive Vice President, CFO
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 8:22 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F1 | $4.66 | Dec 15, 2016 | A | 350,000 | A | — | Dec 15, 2026 | Common Stock, par value $0.001 | 350,000 | 350,000 | D |
Explanation of responses
- F1The option becomes vested and exercisable in three equal annual installments over 3 years from December 15, 2016, the date of grant, with vesting to accelerate if employment ends for any reason other than a termination for Cause, as defined in the relevant employment agreement.
- F2Only represents derivative securities of this class.