0001140361-17-012177.txt : 20170315 0001140361-17-012177.hdr.sgml : 20170315 20170315183517 ACCESSION NUMBER: 0001140361-17-012177 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170313 FILED AS OF DATE: 20170315 DATE AS OF CHANGE: 20170315 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Kadmon Holdings, Inc. 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 FORMER COMPANY: FORMER CONFORMED NAME: Kadmon Holdings, LLC DATE OF NAME CHANGE: 20120829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Third Point LLC CENTRAL INDEX KEY: 0001040273 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 17692459 BUSINESS ADDRESS: STREET 1: 390 PARK AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122247400 MAIL ADDRESS: STREET 1: 390 PARK AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: THIRD POINT MANAGEMENT CO LLC DATE OF NAME CHANGE: 19970602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Loeb Daniel S CENTRAL INDEX KEY: 0001300345 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 17692460 MAIL ADDRESS: STREET 1: THIRD POINT LLC STREET 2: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc1.xml FORM 4 X0306 4 2017-03-13 0 0001557142 Kadmon Holdings, Inc. KDMN 0001300345 Loeb Daniel S 390 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001040273 Third Point LLC 390 PARK AVENUE NEW YORK NY 10022 0 0 1 0 Common Stock, $0.001 par value per share 2017-03-13 4 P 0 1488095 3.36 A 9407745 I See footnote Warrant to Purchase Common Stock 4.50 2017-03-13 4 P 0 595238 A 2017-03-13 2018-04-13 Common Stock 595238 595238 I See footnote The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein. The reported securities were included with the 1,488,095 shares of common stock purchased by the reporting persons for $3.36 per share. Each such purchased share of common stock was issued with a warrant to purchase 0.40 shares of common stock. List of Exhibits: Exhibit 99.1 - Joint Filer Information /s/ William Song, as attorney-in-fact for Daniel S. Loeb 2017-03-15 /s/ William Song, as attorney-in-fact for Daniel S. Loeb, chief executive officer of Third Point LLC 2017-03-15 EX-99.1 2 l20397486.htm JOINT FILER INFORMATION
Attachment to Form 4
JOINT FILER INFORMATION
Name and Address:
Third Point LLC
 
390 Park Avenue
 
New York, NY 10022
 
Date of Event Requiring Statement:
03/13/17
Issuer and Ticker Symbol:
Kadmon Holdings, Inc. [KDMN]
Relationship to Issuer:
10% Owner
Designated Filer:
 
Daniel S. Loeb
 
TABLE I INFORMATION
 
  
Title of Security:
Common Stock
Transaction Date:
March 13, 2017
Transaction Code:
P
Amount of Securities and Price:
1,488,095 at $3.36 per share
Securities Acquired (A) or Disposed of (D):
A
Amount of Securities Beneficially Owned Following Reported Transactions:
9,407,745
Ownership Form:
I
Nature of Indirect Beneficial Ownership:
 
See Footnote (1) in the Form 4
 
 
 TABLE II INFORMATION
 
  
Title of Derivative Security:
Warrant to Purchase Common Stock
Conversion or Exercise Price of Derivative Security:
  $4.50
Transaction Date:
March 13, 2017
Transaction Code:
P
Number of Derivative Securities Acquired (A) or Disposed of (D):
 595,238
Date Exercisable: March 13, 2017
Expiration Date: April 13, 2018
Title of Securities Underlying Derivative Security: Common Stock
Amount or Number of Shares: 595,238
Price of Derivative Security:
See Footnote (2) in the Form 4
Number of Derivative Securities Beneficially Owned Following Reported Transaction:
595,238
Ownership Form:
I
Nature of Indirect Beneficial Ownership:
 
See Footnote (1) in the Form 4
 
 
Signature
 
THIRD POINT LLC
 
 
By:  DANIEL S. LOEB, Chief Executive Officer
 
 
By:  /s/ William Song                                         
 
Name:  William Song
 
Title:    Attorney-in-Fact
 
   
    /s/ William Song                                            
  WILLIAM SONG, as attorney-in-fact for DANIEL S. LOEB