13D Filing: GoldenTree Asset Management and Kadmon Holdings Inc (KDMN)

(1) Includes 2,256,333 shares of Common Stock of the Issuer issuable upon the conversion of the Preferred Stock of the Issuer on an as-converted basis (including shares of Common Stock that are issuable in respect of accrued and unpaid dividends on the Preferred Stock as of December 1, 2017) and 219,828 shares of Common Stock issuable upon the exercise of the Warrants on an as-converted basis.

(2) Based on 74,121,521 shares of Common Stock outstanding as reported in the Issuer’s 10-Q filed with the SEC on November 9, 2017, plus 2,256,333 shares of Common Stock of the Issuer issuable upon the conversion of the Preferred Stock of the Issuer on an as-converted basis (including shares of Common Stock that are issuable in respect of accrued and unpaid dividends on the Preferred Stock as of December 1, 2017) and 219,828 shares of Common Stock issuable upon the exercise of the Warrants on an as-converted basis.

CUSIP No. 48283N106				Page 4 of 7 Pages
1	NAME OF REPORTING PERSON STEVEN A. TANANBAUM
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP				(a) ☐ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS OO
5	CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)					☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 0
		8	SHARED VOTING POWER 5,480,172 (1)
		9	SOLE DISPOSITIVE POWER 0
		10	SHARED DISPOSITIVE POWER 5,480,172 (1)
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,480,172 (1)
12	CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)					☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.2% (1)(2)
14	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC, IN

13D Filing: GoldenTree Asset Management and Kadmon Holdings Inc (KDMN)

Published on December 6, 2017 at 11:30 am by Insider Monkey Staff in Hedge Funds

Page 4 of 7 – SEC Filing

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