Gordon Steven N. 4
4 · Kadmon Holdings, Inc. · Filed Dec 18, 2018
Insider Transaction Report
Form 4
Gordon Steven N.
Exec VP, GC, Chief Admin, Comp
Transactions
- Award
Common Stock, par value $0.001
2018-03-29$2.85/sh+1,200$3,420→ 86,625 total - Award
Option (right to buy)
2018-12-14$2.47/sh+100,000$247,000→ 100,000 totalExercise: $2.47From: 2019-12-14Exp: 2028-12-14→ Common Stock, par value $0.001 (100,000 underlying) - Award
Common Stock, par value $0.001
2018-09-28$2.84/sh+704$1,999→ 86,625 total
Footnotes (7)
- [F1]The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of October 1, 2017 through March 31, 2018. This transaction is also exempt under Rule 16b-3(c).
- [F2]The reporting person is voluntarily reporting this transaction on December 18, 2018, but the actual transaction took place on March 29, 2018, the last trading day of the option period under the ESPP.
- [F3]In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing stock price on September 29, 2017, the last business day before the first trading day of the option period.
- [F4]The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of April 1, 2018 through September 30, 2018. This transaction is also exempt under Rule 16b-3(c).
- [F5]The reporting person is voluntarily reporting this transaction on December 18, 2018, but the actual transaction took place on September 28, 2018, the last trading day of the option period under the ESPP.
- [F6]In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing stock price on September 28, 2018, the last business day before the first trading day of the option period.
- [F7]Only represents derivative securities of this class.