Bauer Eugene 4

4 · Kadmon Holdings, Inc. · Filed Nov 9, 2021

Form 4

Period: 2021-11-09

Director

Transactions

Disposition to Issuer
Common Stock
2021-11-09$9.50/sh−5,000$47,500→ 0 total(indirect: By Trust)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.06/sh−85,034$430,272→ 0 total
Exercise: $4.44Exp: 2028-07-27→ Common Stock, par value $0.001 (85,034 underlying)
Disposition to Issuer
Common Stock
2021-11-09$9.50/sh−1,716$16,302→ 0 total
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.38/sh−25,000$134,500→ 0 total
Exercise: $4.12Exp: 2027-06-29→ Common Stock, par value $0.001 (25,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$7.21/sh−100,000$721,000→ 0 total
Exercise: $2.29Exp: 2028-07-27→ Common Stock, par value $0.001 (100,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.92/sh−96,975$574,092→ 0 total
Exercise: $3.58Exp: 2028-07-27→ Common Stock, par value $0.001 (96,975 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$6.15/sh−25,000$153,750→ 0 total
Exercise: $3.35Exp: 2028-07-27→ Common Stock, par value $0.001 (25,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$4.84/sh−3,077$14,893→ 0 total
Exercise: $4.66Exp: 2026-12-15→ Common Stock, par value $0.001 (3,077 underlying)

Footnotes (3)

[F1]Disposed pursuant to the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger (the "Merger").
[F2]In connection with the Merger, all unvested stock options ("Options") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option.
[F3]Represents the payment per share of Common Stock received in exchange for the cancellation of each Option.

Documents

1 file