SEC Form 4 · accession 0001593968-18-001609
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
Mar 29, 2018
Accepted (ET)
Dec 18, 2018 · 11:24 am EST
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,F2,F3 | Mar 29, 2018 | A | 1,200 | $2.85 | A | 86,625 | D | |
| Common Stock, par value $0.001F4,F5,F6 | Sep 28, 2018 | A | 704 | $2.84 | A | 86,625 | 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)F7 | $2.47 | Dec 14, 2018 | A | 100,000 | A | Dec 14, 2019 | Dec 14, 2028 | Common Stock, par value $0.001 | 100,000 | 100,000 | D |
Explanation of responses
- F1The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of October 1, 2017 through March 31, 2018. This transaction is also exempt under Rule 16b-3(c).
- F2The reporting person is voluntarily reporting this transaction on December 18, 2018, but the actual transaction took place on March 29, 2018, the last trading day of the option period under the ESPP.
- F3In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing stock price on September 29, 2017, the last business day before the first trading day of the option period.
- F4The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of April 1, 2018 through September 30, 2018. This transaction is also exempt under Rule 16b-3(c).
- F5The reporting person is voluntarily reporting this transaction on December 18, 2018, but the actual transaction took place on September 28, 2018, the last trading day of the option period under the ESPP.
- F6In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing stock price on September 28, 2018, the last business day before the first trading day of the option period.
- F7Only represents derivative securities of this class.