Filing Details
- Accession Number:
- 0000899243-16-026172
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-03 12:05:18
- Reporting Period:
- 2016-08-01
- Filing Date:
- 2016-08-03
- Accepted Time:
- 2016-08-03 12:05:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1557142 | Kadmon Holdings Inc. | KDMN | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1278951 | Goldentree Asset Management Lp | 300 Park Avenue, 21St Floor New York NY 10022 | No | No | Yes | No | |
| 1435626 | A. Steven Tananbaum | 300 Park Avenue, 21St Floor New York NY 10022 | No | No | Yes | No | |
| 1435627 | Goldentree Asset Management Llc | 300 Park Avenue, 21St Floor New York NY 10022 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-01 | 1,068,008 | $0.00 | 1,175,300 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 5,917 | $0.00 | 6,239 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 36,686 | $0.00 | 40,721 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 72,779 | $0.00 | 77,762 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 546,275 | $0.00 | 720,530 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 2,717,490 | $0.00 | 3,892,790 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 102,721 | $0.00 | 143,442 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 224,378 | $0.00 | 302,140 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 144,964 | $0.00 | 148,183 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 9,945 | $12.00 | 75,828 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 12,960 | $12.00 | 12,960 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 140,388 | $12.00 | 1,050,180 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 26,675 | $12.00 | 747,205 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 6,095 | $12.00 | 149,537 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2016-08-01 | 12,270 | $12.00 | 314,410 | No | 4 | P | Indirect | See Footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Senior Convertible Term Loan | Disposition | 2016-08-01 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | Senior Convertible Term Loan | Disposition | 2016-08-01 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | Senior Convertible Term Loan | Disposition | 2016-08-01 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | Senior Convertible Term Loan | Disposition | 2016-08-01 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | Senior Convertible Term Loan | Disposition | 2016-08-01 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | 5% Convertible Preferred Stock | Acquisiton | 2016-08-01 | 2,969 | $0.00 | 0 | $0.00 |
| Common Stock | 5% Convertible Preferred Stock | Acquisiton | 2016-08-01 | 14,773 | $0.00 | 0 | $0.00 |
| Common Stock | 5% Convertible Preferred Stock | Acquisiton | 2016-08-01 | 558 | $0.00 | 0 | $0.00 |
| Common Stock | 5% Convertible Preferred Stock | Acquisiton | 2016-08-01 | 1,220 | $0.00 | 0 | $0.00 |
| Common Stock | 5% Convertible Preferred Stock | Acquisiton | 2016-08-01 | 788 | $0.00 | 0 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-06-17 | No | 4 | J | Indirect | |
| 0 | 2013-06-17 | No | 4 | J | Indirect | |
| 0 | 2013-06-17 | No | 4 | J | Indirect | |
| 0 | 2013-06-17 | No | 4 | J | Indirect | |
| 0 | 2013-06-17 | No | 4 | J | Indirect | |
| 2,969 | 2016-08-01 | No | 4 | J | Indirect | |
| 14,773 | 2016-08-01 | No | 4 | J | Indirect | |
| 558 | 2016-08-01 | No | 4 | J | Indirect | |
| 1,220 | 2016-08-01 | No | 4 | J | Indirect | |
| 788 | 2016-08-01 | No | 4 | J | Indirect |
Footnotes
- See Exhibit 99.1; footnote (1).
- See Exhibit 99.1; footnote (2).
- See Exhibit 99.1; footnote (3).
- See Exhibit 99.1; footnote (4).
- See Exhibit 99.1; footnote (5).
- See Exhibit 99.1; footnote (6).
- See Exhibit 99.1; footnote (7).
- See Exhibit 99.1; footnote (8).
- See Exhibit 99.1; footnote (9).
- See Exhibit 99.1; footnote (10).
- See Exhibit 99.1; footnote (11).
- See Exhibit 99.1; footnote (12).
- See Exhibit 99.1; footnote (13).
- See Exhibit 99.1; footnote (14).
- See Exhibit 99.1; footnote (15).
- See Exhibit 99.1; footnote (16).
Billionaire Hedge Funds
