SEC Form 4 · accession 0001593968-17-000974
Kadmon Holdings, Inc. · KDMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven N. Gordon
Officer — Exec VP, GC, Chief Admin, Comp
Period of report
Aug 8, 2017
Accepted (ET)
Aug 9, 2017 · 6:35 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, par value $0.001F1 | Aug 8, 2017 | P | 1,000 | $2.471 | A | 84,721 | D | |
| Common Stock, par value $0.001F1 | Aug 8, 2017 | J | 0 | $0.00 | D | 148,763 | I | Steven Gordon Gift Trust Dtd 3-31-2011 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In connection with the January 23, 2017 liquidation and pro rata distribution of the Issuer's securities previously reported as held indirectly by the reporting person through Kadmon I, LLC, the amount of securities directly and indirectly beneficially owned by the reporting person have been adjusted to reflect changes in the form of ownership and related reductions as a result of rounding in connection with the pro rata distribution.