Key facts
- This page summarizes Harlan Waksal's Form 4 filing for Kadmon Holdings, Inc..
- 6 reported transactions and 5 derivative rows are listed below.
- Accepted by SEC: 09 Nov 2021, 16:42.
Harlan Waksal - 09 Nov 2021 Form 4 Insider Report for Kadmon Holdings, Inc.
- Reporting relationship
- President, CEO, Director
- Issuer ticker
- N/A
- Reported as of
- 09 Nov 2021
- Net transaction value
- +$25,797,748
- SEC form
- 4
- Accepted by SEC
- 09 Nov 2021, 16:42:11 UTC
- Prior SEC filing
- 17 May 2021
- Next SEC filing
- 18 Feb 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Gregory S. Moss, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Filing notes and source
Key filing fact
Harlan Waksal filed Form 4 for Kadmon Holdings, Inc. on 09 Nov 2021.
Change
- Previous filing in this sequence was filed on 17 May 2021.
- Current net transaction value: +$25,797,748.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
KDMN
transaction
Common Stock
Disposed to Issuer
- Transaction value
- -$1,690,478
- Shares
- -177,945
- Change %
- -100%
- Price
- $9.50
- Shares after
- 0
- Date
- 09 Nov 2021
- Ownership
- Direct
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
KDMN
transaction
Derivative
Stock Appreciation Right
Disposed to Issuer
- Transaction value
- $3,838,300
- Shares
- +655,000
- Change %
- Price
- $5.86
- Shares after
- 0
- Date
- 09 Nov 2021
- Ownership
- Direct
- Underlying class
- Common Stock, par value $0.001
- Underlying amount
- 655,000
- Exercise price
- $3.64
- Footnotes
- F2, F3
KDMN
transaction
Derivative
Performance Stock Option(right to buy)
Disposed to Issuer
- Transaction value
- $5,344,800
- Shares
- +982,500
- Change %
- Price
- $5.44
- Shares after
- 0
- Date
- 09 Nov 2021
- Ownership
- Direct
- Underlying class
- Common Stock, par value $0.001
- Underlying amount
- 982,500
- Exercise price
- $4.06
- Footnotes
- F2, F3
KDMN
transaction
Derivative
Stock Option (right to buy)
Disposed to Issuer
- Transaction value
- $7,222,500
- Shares
- +1,350,000
- Change %
- Price
- $5.35
- Shares after
- 0
- Date
- 09 Nov 2021
- Ownership
- Direct
- Underlying class
- Common Stock, par value $0.001
- Underlying amount
- 1,350,000
- Exercise price
- $4.15
- Footnotes
- F2, F3
KDMN
transaction
Derivative
Stock Option (right to buy)
Disposed to Issuer
- Transaction value
- $11,080,000
- Shares
- +2,000,000
- Change %
- Price
- $5.54
- Shares after
- 0
- Date
- 09 Nov 2021
- Ownership
- Direct
- Underlying class
- Common Stock, par value $0.001
- Underlying amount
- 2,000,000
- Exercise price
- $3.96
- Footnotes
- F2, F3
KDMN
transaction
Derivative
Equity Appreciation Rights Unit
Disposed to Issuer
- Transaction value
- $2,625
- Shares
- +750
- Change %
- Price
- $3.50
- Shares after
- 0
- Date
- 09 Nov 2021
- Ownership
- Direct
- Underlying class
- Common Stock, par value $0.001
- Underlying amount
- 750
- Exercise price
- $6.00
- Footnotes
- F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Harlan Waksal is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 3 footnotes
Footnote 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").
Footnote F2
In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") 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, SAR and EAR award.
Footnote F3
Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR.