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