SEC Form 3 · accession 0001593968-18-001377
Kadmon Holdings, Inc. · KDMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kyle Carver
Officer — Principal Accounting Officer
Period of report
Oct 24, 2018
Accepted (ET)
Oct 29, 2018 · 4:19 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 $0.001 | holding | — | — | — | 581 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F1 | $4.66 | holding | — | — | — | — | Dec 15, 2026 | Common | 45,000 | — | D |
| Option (right to buy)F2 | $3.64 | holding | — | — | — | — | Dec 8, 2027 | Common | 55,000 | — | D |
| Option (right to buy)F3 | $12.00 | holding | — | — | — | — | Dec 31, 2025 | Common | 1,154 | — | D |
| Option (right to buy) | $12.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2024 | Common | 1,231 | — | D |
| Option (right to buy) | $12.00 | holding | — | — | — | Oct 10, 2017 | Oct 10, 2024 | Common | 539 | — | D |
Explanation of responses
- F1The option vests and becomes exercisable in two equal annual installments over 2 years from December 15, 2016, the date of grant.
- F2The option vests and becomes exercisable in three equal annual installments over 3 years from December 8, 2017, the date of grant.
- F3The option vests and becomes exercisable in three equal annual installments over 3 years from December 31, 2015, the date of grant.