13G Filing: Perceptive Advisors and Kadmon Holdings Inc. (KDMN)

(a)

Amount
beneficially owned:

Perceptive Advisors LLC and Joseph Edelman beneficially own 5,185,847shares of Common Stock, 4,955,474 of which are held by Perceptive Life Sciences Master Fund Ltd, a private investment
fund (the “Fund”) to which Perceptive Advisors LLC serves as the investment manager, and 230,373 of which are held
in a trading account (the “Account”) to which Perceptive Advisors LLC serves as the investment manager. Mr. Edelman
is the managing member of Perceptive Advisors LLC.

(b)

Percent
of class:

Perceptive Advisors LLC’s and Joseph Edelman’s beneficial ownership of 10.00%, and Perceptive
Life Sciences Master Fund Ltd’s beneficial ownership of 9.55%, is based on the sum of 51,846,521 shares of Common Stock due
to a private placement providing $23 million to the Issuer that closed on March 13, 2017 as discussed in an 8-K filed by the Issuer
on March 9, 2017. In connection with the private placement, the Fund also owns 1,161,428 and the Managed Account owns 29,047 warrants
of the Issuer. Each warrant is exercisable at 0.4 shares
of Common Stock at an exercise price of $4.50 per share. Due to the fact the warrants are not currently exercisable, they were
not included in the calculation to determine the Reporting Persons’ beneficial ownership of the securities of the Issuer.

(c)

Number
of shares as to which the person has:

Perceptive
Advisors LLC and Joseph Edelman

(i)

Sole
power to vote or to direct the vote:

0

(ii)

Shared
power to vote or to direct the vote:

5,185,847

(iii)

Sole
power to dispose or to direct the disposition of:

0

(iv)

Shared
power to dispose or to direct the disposition of:

5,185,847

Perceptive
Life Sciences Master Fund Ltd:

(i)

Sole
power to vote or to direct the vote:

0

(ii)

Shared
power to vote or to direct the vote:

4,955,474

(iii)

Sole
power to dispose or to direct the disposition of:

0

(iv)

Shared
power to dispose or to direct the disposition of:

4,955,474

13G Filing: Perceptive Advisors and Kadmon Holdings Inc. (KDMN)

Published on March 21, 2017 at 10:09 am by Insider Monkey Staff in Hedge Funds

Page 6 of 8 – SEC Filing

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