Waksal Harlan 4
4 · Kadmon Holdings, Inc. · Filed Mar 11, 2020
Insider Transaction Report
Form 4
Waksal Harlan
DirectorPresident, CEO
Transactions
- Purchase
Common Stock, par value $0.001
2020-03-11$3.96/sh+12,600$49,859→ 136,945 total - Award
Common Stock, par value $0.001
2018-09-28$2.84/sh+5,882$16,705→ 116,629 total - Award
Common Stock, par value $0.001
2019-03-29$2.25/sh+7,716$17,361→ 124,345 total
Footnotes (6)
- [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 April 1, 2018 through September 30, 2018. This transaction is also exempt under Rule 16b-3(c).
- [F2]The reporting person is voluntarily reporting this transaction on March 11, 2020, but the actual transaction took place on September 28, 2018, the last trading day of the option period under the ESPP.
- [F3]In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on September 28, 2018, the last 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 October 1, 2018 through March 31, 2019. This transaction is also exempt under Rule 16b-3(c).
- [F5]The reporting person is voluntarily reporting this transaction on March 11, 2020, but the actual transaction took place on March 29, 2019, the last trading day of the option period under the ESPP.
- [F6]In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on March 29, 2019, the last trading day of the option period.