0001104659-21-136410.txt : 20211109 0001104659-21-136410.hdr.sgml : 20211109 20211109174104 ACCESSION NUMBER: 0001104659-21-136410 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211109 FILED AS OF DATE: 20211109 DATE AS OF CHANGE: 20211109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ryan John L CENTRAL INDEX KEY: 0001679825 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37841 FILM NUMBER: 211393503 MAIL ADDRESS: STREET 1: C/O KADMON HOLDINGS, LLC STREET 2: 450 E. 29TH STREET CITY: NEW YORK STATE: NY ZIP: 10016 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: 833-900-5366 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 4 1 tm2131118-9_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-11-09 1 0001557142 Kadmon Holdings, Inc. KDMN 0001679825 Ryan John L C/O KADMON HOLDINGS, INC. 450 E. 29TH STREET NEW YORK NY 10016 0 1 0 0 EVP, Chief Medical Officer Stock Option (right to buy) 4.66 2021-11-09 4 D 0 100000 4.84 D 2026-12-15 Common Stock, par value $0.001 100000 0 D Stock Option (right to buy) 3.64 2021-11-09 4 D 0 150000 5.86 D 2027-12-08 Common Stock, par value $0.001 150000 0 D Stock Option (right to buy) 2.47 2021-11-09 4 D 0 50000 7.03 D 2028-12-14 Common Stock, par value $0.001 50000 0 D Stock Option (right to buy) 4.34 2021-11-09 4 D 0 100000 5.16 D 2030-01-27 Common Stock, par value $0.001 100000 0 D Stock Option (right to buy) 3.96 2021-11-09 4 D 0 175000 5.54 D 2031-01-08 Common Stock, par value $0.001 175000 0 D Equity Appreciation Rights Unit 6.00 2021-11-09 4 D 0 250 3.50 D 2024-12-16 Common Stock, par value $0.001 250 0 D In connection with the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger, all unvested stock options ("Options") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option and EAR award. Represents the payment per share of Common Stock received in exchange for the cancellation of each Option and EAR. /s/ Gregory S. Moss, Attorney-in-Fact 2021-11-09