Moss Gregory S. 4

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

Form 4

Period: 2021-11-09

EVP, General Counsel

Transactions

Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.16/sh−360,000$1,857,600→ 0 total
Exercise: $4.34Exp: 2030-01-27→ Common Stock, par value $0.001 (360,000 underlying)
Disposition to Issuer
Stock Appreciation Right
2021-11-09$4.84/sh−75,000$363,000→ 0 total
Exercise: $4.66Exp: 2026-12-15→ Common Stock, par value $0.001 (75,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$7.03/sh−75,000$527,250→ 0 total
Exercise: $2.47Exp: 2028-12-14→ Common Stock, par value $0.001 (75,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$7.36/sh−300,000$2,208,000→ 0 total
Exercise: $2.14Exp: 2029-08-30→ Common Stock, par value $0.001 (300,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.54/sh−680,000$3,767,200→ 0 total
Exercise: $3.96Exp: 2031-01-08→ Common Stock, par value $0.001 (680,000 underlying)
Disposition to Issuer
Common Stock
2021-11-09$9.50/sh−17,671$167,875→ 0 total
Disposition to Issuer
Performance Stock Option (right to buy)
2021-11-09$5.86/sh−150,000$879,000→ 0 total
Exercise: $3.64Exp: 2027-12-08→ Common Stock, par value $0.001 (150,000 underlying)
Disposition to Issuer
Equity Appreciation Rights Unit
2021-11-09$3.50/sh−200$700→ 0 total
Exercise: $6.00Exp: 2024-12-31→ Common Stock, par value $0.001 (200 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") and equity appreciation rights ("EARs") 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 and EAR award.
[F3]Represents the payment per share of Common Stock received in exchange for the cancellation of each Option and EAR.

Documents

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