Eugene Bauer - 09 Nov 2021 Form 4 Insider Report for Kadmon Holdings, Inc.

Role
Director
Signature
/s/ Gregory S. Moss, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
09 Nov 2021
Net transactions value
-$2,092,309
Form type
4
Filing time
09 Nov 2021, 16:35:33 UTC
Previous filing
13 May 2021
Next filing
05 Nov 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KDMN Common Stock Disposed to Issuer $16,302 -1,716 -100% $9.50 0 09 Nov 2021 Direct F1
transaction KDMN Common Stock Disposed to Issuer $47,500 -5,000 -100% $9.50 0 09 Nov 2021 Bauer Family 1995 Trust F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction KDMN Stock Option (right to buy) Disposed to Issuer $14,893 -3,077 -100% $4.84 0 09 Nov 2021 Common Stock, par value $0.001 3,077 $4.66 Direct F2, F3
transaction KDMN Stock Option (right to buy) Disposed to Issuer $134,500 -25,000 -100% $5.38 0 09 Nov 2021 Common Stock, par value $0.001 25,000 $4.12 Direct F2, F3
transaction KDMN Stock Option (right to buy) Disposed to Issuer $153,750 -25,000 -100% $6.15 0 09 Nov 2021 Common Stock, par value $0.001 25,000 $3.35 Direct F2, F3
transaction KDMN Stock Option (right to buy) Disposed to Issuer $721,000 -100,000 -100% $7.21 0 09 Nov 2021 Common Stock, par value $0.001 100,000 $2.29 Direct F2, F3
transaction KDMN Stock Option (right to buy) Disposed to Issuer $430,272 -85,034 -100% $5.06 0 09 Nov 2021 Common Stock, par value $0.001 85,034 $4.44 Direct F2, F3
transaction KDMN Stock Option (right to buy) Disposed to Issuer $574,092 -96,975 -100% $5.92 0 09 Nov 2021 Common Stock, par value $0.001 96,975 $3.58 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Eugene Bauer is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Disposed pursuant to the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger (the "Merger").
F2 In connection with the Merger, all unvested stock options ("Options") 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.
F3 Represents the payment per share of Common Stock received in exchange for the cancellation of each Option.