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Waksal Harlan 4

Accession 0001104659-21-136412

CIK 0001557142other

View on SEC.gov Company Profile

Filed

Nov 8, 7:00 PM ET

Accepted

Nov 9, 5:42 PM ET

Size

16.3 KB

Accession

0001104659-21-136412

Insider Transaction Report

Form 4

Period: 2021-11-09

Kadmon Holdings, Inc.KDMN

DirectorPresident, CEO

Transactions

Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.54/sh+2,000,000$11,080,000→ 0 total
Exercise: $3.96Exp: 2031-01-08→ Common Stock, par value $0.001 (2,000,000 underlying)
Disposition to Issuer
Performance Stock Option(right to buy)
2021-11-09$5.44/sh+982,500$5,344,800→ 0 total
Exercise: $4.06Exp: 2028-04-03→ Common Stock, par value $0.001 (982,500 underlying)
Disposition to Issuer
Common Stock
2021-11-09$9.50/sh−177,945$1,690,478→ 0 total
Disposition to Issuer
Equity Appreciation Rights Unit
2021-11-09$3.50/sh+750$2,625→ 0 total
Exercise: $6.00Exp: 2024-12-31→ Common Stock, par value $0.001 (750 underlying)
Disposition to Issuer
Stock Appreciation Right
2021-11-09$5.86/sh+655,000$3,838,300→ 0 total
Exercise: $3.64Exp: 2027-12-08→ Common Stock, par value $0.001 (655,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2021-11-09$5.35/sh+1,350,000$7,222,500→ 0 total
Exercise: $4.15Exp: 2029-11-19→ Common Stock, par value $0.001 (1,350,000 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"), stock appreciation rights ("SARs") 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, SAR and EAR award.
[F3]Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR.

Documents

1 file

4
tm2131118-11_4seq1.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Kadmon Holdings, Inc.

CIK 0001557142

Entity typeother

Related Parties

1

filerCIK 0001449008

Filing Metadata

Form type: 4
Filed: Nov 8, 7:00 PM ET
Accepted: Nov 9, 5:42 PM ET
Size: 16.3 KB

View on SEC.gov