0001104659-16-134426.txt : 20160726
0001104659-16-134426.hdr.sgml : 20160726
20160726183641
ACCESSION NUMBER: 0001104659-16-134426
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160726
FILED AS OF DATE: 20160726
DATE AS OF CHANGE: 20160726
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Kadmon Holdings, LLC
CENTRAL INDEX KEY: 0001557142
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 273576929
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 450 EAST 29TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 212-308-6000
MAIL ADDRESS:
STREET 1: 450 EAST 29TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10016
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zan Shengda
CENTRAL INDEX KEY: 0001614456
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37841
FILM NUMBER: 161785328
MAIL ADDRESS:
STREET 1: 9 FL BANK OF SHANGHAI TOWER
STREET 2: 168 MIDDLE YINCHENG
CITY: SHANGHAI
STATE: F4
ZIP: 00000
3
1
a3.xml
3
X0206
3
2016-07-26
0
0001557142
Kadmon Holdings, LLC
KDMN
0001614456
Zan Shengda
C/O KADMON HOLDINGS, LLC,
450 E. 29TH STREET
NEW YORK
NY
10016
1
0
0
0
Common Stock, par value $0.001
412299
I
See Footnote
Common Stock, par value $0.001
1775082
I
See Footnote
Stock Option (right to buy)
12.00
2016-07-26
2025-01-06
Common Stock, par value $0.001
6154
D
Stock Option (right to buy)
12.00
2025-12-31
Common Stock, par value $0.001
3077
D
Shares held directly by Alpha Spring Limited. Mr. Zan is the sole director of Alpha Spring Limited and, as such, has sole voting and dispositive power over Alpha Spring Limited. Mr. Zan disclaims beneficial ownership of the securities held by Alpha Spring Limited, except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Shares of our common stock issuable to Alpha Spring Limited following mandatory conversion of second-lien convertible paid-in-kind notes. Mr. Zan is the sole director of Alpha Spring Limited and, as such, has sole voting and dispositive power over Alpha Spring Limited. Mr. Zan disclaims beneficial ownership of the securities held by Alpha Spring Limited, except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
The option becomes exercisable on December 31, 2016.
This filing reflects the conversion of Kadmon Holdings, LLC, a Delaware limited liability company, into Kadmon Holdings, Inc., a Delaware corporation, pursuant to a statutory conversion set to occur on or about July 26, 2016.
/s/ Steven N. Gordon, Attorney-in-Fact
2016-07-26