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
- 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.
- 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.