Filing Details

Accession Number:
0001140361-17-012177
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-15 18:35:17
Reporting Period:
2017-03-13
Filing Date:
2017-03-15
Accepted Time:
2017-03-15 18:35:17
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
1040273 Third Point Llc 390 Park Avenue
New York NY 10022
No No Yes No
1300345 S Daniel Loeb 390 Park Avenue
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, $0.001 Par Value Per Share Acquisiton 2017-03-13 1,488,095 $3.36 9,407,745 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant to Purchase Common Stock Acquisiton 2017-03-13 595,238 $0.00 595,238 $4.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
595,238 2017-03-13 2018-04-13 No 4 P Indirect
Footnotes
  1. The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.
  2. The reported securities were included with the 1,488,095 shares of common stock purchased by the reporting persons for $3.36 per share. Each such purchased share of common stock was issued with a warrant to purchase 0.40 shares of common stock.