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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Kadmon Holdings Inc
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| February 14, 2022 |
240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* (Name of Issuer) Kadmon Holdings, Inc. (Title of Class of Securities) Common Stock, Par Value $0.001 P |
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| November 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-37841 KADMON HOLDINGS, INC. (Exact name of registrant as specified in it |
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| November 9, 2021 |
Source: Sanofi (EURONEXT: SAN) (NASDAQ: SNY) Exhibit 99.1 Press Release Source: Sanofi (EURONEXT: SAN) (NASDAQ: SNY) Sanofi completes acquisition of Kadmon Paris ? November 9, 2021 - Sanofi announced today the completion of its acquisition of Kadmon Holdings, Inc. The acquisition further strengthens growth and expansion for the General Medicines portfolio. Shareholders of Kadmon common stock voted to approve the acquisition at a special meet |
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| November 9, 2021 |
BYLAWS OF KADMON HOLDINGS, INC. (a Delaware corporation) ARTICLE I Stockholders Exhibit 3.2 BYLAWS OF KADMON HOLDINGS, INC. (a Delaware corporation) ARTICLE I Stockholders SECTION 1. Annual Meetings. The annual meeting of the stockholders of Kadmon Holdings, Inc. (the ?Corporation?) for the election of directors and for the transaction of such other business as may properly come before the meeting shall be held each year at such date and time, within or without the State of D |
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| November 9, 2021 |
As filed with the Securities and Exchange Commission on November 9, 2021 Registration Statement Nos. |
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| November 9, 2021 |
Exhibit 4.1 KADMON HOLDINGS, INC. AND U.S. BANK NATIONAL ASSOCIATION, as Trustee FIRST SUPPLEMENTAL INDENTURE Dated as of November 9, 2021 3.625% Convertible Senior Notes due 2027 FIRST SUPPLEMENTAL INDENTURE, dated as of November 9, 2021 (this ?Supplemental Indenture?), among Kadmon Holdings, Inc., a Delaware corporation (the ?Company?), as issuer, and U.S. Bank National Association, a national b |
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| November 9, 2021 |
As filed with the Securities and Exchange Commission on November 9, 2021 As filed with the Securities and Exchange Commission on November 9, 2021 Registration No. |
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| November 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 Kadmon Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37841 27-3576929 (State or Other Jurisdiction of Incorporation) (Commission |
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| November 9, 2021 |
As filed with the Securities and Exchange Commission on November 9, 2021 As filed with the Securities and Exchange Commission on November 9, 2021 Registration No. |
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| November 9, 2021 |
As filed with the Securities and Exchange Commission on November 9, 2021 Registration Statement Nos. |
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| November 9, 2021 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION KADMON HOLDINGS, INC. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF KADMON HOLDINGS, INC. FIRST: The name of the corporation is: Kadmon Holdings, Inc. (the ?Corporation?). SECOND: The address of the registered office of the Corporation in the State of Delaware is: Corporation Service Company, 251 Little Falls Drive, Wilmington, DE 19808, County of New Castle. The name of its registered agent for serv |
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| November 9, 2021 |
As filed with the Securities and Exchange Commission on November 9, 2021 As filed with the Securities and Exchange Commission on November 9, 2021 Registration No. |
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| November 9, 2021 |
As filed with the Securities and Exchange Commission on November 9, 2021 S-8 POS 1 ny20000665s8pos.htm S-8 POS As filed with the Securities and Exchange Commission on November 9, 2021 Registration No. 333-253924 Registration No. 333-238972 Registration No. 333-233770 Registration No. 333-213748 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-253924 POST-EFFECTIVE AMENDMENT |
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| November 5, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2021 Kadmon Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37841 27-3576929 (State or Other Jurisdiction of Incorporation) (Commission |
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| November 4, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| November 4, 2021 |
Exhibit 99.1 Kadmon Provides Business Update and Reports Third Quarter 2021 Financial Results ? REZUROCK? (belumosudil) 200 mg once daily (QD) tablets are now commercially available for shipment to prescribed patients in the United States ? ? ? Execution of strategic launch strategy underway; Third quarter REZUROCK net sales $12.2 million ? ? ? Sanofi acquisition of Kadmon expected to close 4Q 202 |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2021 Kadmon Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37841 27-3576929 (State or Other Jurisdiction of Incorporation) (Commission |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2021 Kadmon Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37841 27-3576929 (State or Other Jurisdiction of Incorporation) (Commission |
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| October 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| October 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2021 Kadmon Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37841 27-3576929 (State or Other Jurisdiction of Incorporation) (Commission |
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| October 4, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a- |
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| September 21, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a Party other than the Registrant ?? Check the appropriate box: ? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| September 17, 2021 |
KDMN / Kadmon Holdings Inc / Magnetar Financial LLC - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 48283N106 (CUSIP Number of Class of Securities) Alec N. Litowitz Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, A |
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| September 17, 2021 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k), as promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Kadmon Holdings, Inc., and further agree that this Joint Filing Agreement be included as a |
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| September 8, 2021 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER BY AND AMONG: SANOFI LATOUR MERGER SUB, INC. AND KADMON HOLDINGS, INC. DATED AS OF SEPTEMBER 7, 2021 TABLE OF CONTENTS Pages ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Conversion of Shares of Capital Stock 2 Section 1.3 Surrender and Payment 3 Section 1.4 Dissenting Shares 5 Section 1.5 Company Equity Awards 6 Section 1.6 Withholding Rights |
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| September 8, 2021 |
Exhibit 10.3 Second Amendment to Employment Agreement This Second Amendment to the Employment Agreement (the ?Amendment?) is entered into and effective as of September 7, 2021 (the ?Effective Date?) by and between Kadmon Corporation, LLC, a Delaware limited liability company having a principal place of business at 450 East 29th Street, New York, NY 10016 (?Kadmon? or the ?Company?) and Gregory S. |
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| September 8, 2021 |
Exhibit 10.1 Second Amendment to Employment Agreement This Second Amendment to the Employment Agreement (the ?Amendment?) is entered into and effective as of September 7, 2021 (the ?Effective Date?) by and between Kadmon Corporation, LLC, a Delaware limited liability company having a principal place of business at 450 East 29th Street, New York, NY 10016 (?Kadmon? or the ?Company?) and Harlan W. W |
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| September 8, 2021 |
Kadmon Holdings, Inc. – Employee Questions and Answers Exhibit 99.2 Kadmon Holdings, Inc. ? Employee Questions and Answers 1. What was announced regarding the Company and Sanofi? Kadmon Holdings, Inc. (the ?Company? or ?Kadmon?) and Sanofi (?Sanofi?) have entered into a definitive merger agreement pursuant to which Sanofi has agreed to acquire the Company at a price of $9.50 per share in a cash transaction. Under the terms of the merger agreement, Kad |
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| September 8, 2021 |
falseNY0001557142NASDAQ00015571422021-09-072021-09-07 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 8, 2021 |
Exhibit 10.2 Second Amendment to Employment Agreement This Second Amendment to the Employment Agreement (the ?Amendment?) is entered into and effective as of September 7, 2021 (the ?Effective Date?) by and between Kadmon Corporation, LLC, a Delaware limited liability company having a principal place of business at 450 East 29th Street, New York, NY 10016 (?Kadmon? or the ?Company?) and Steven Meeh |
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| September 8, 2021 |
Exhibit 99.1 Press Release Source: Sanofi (EURONEXT: SAN) (NASDAQ: SNY) Sanofi to acquire Kadmon to further strengthen growth of transplant business ? Adds Rezurock(TM) (belumosudil) an FDA-approved, first-in-class treatment for adult and pediatric patients 12 years and older with chronic graft-versus-host disease (cGVHD) after failure of at least two prior lines of systemic therapy ? PARIS and NE |
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| September 8, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 7, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| August 5, 2021 |
Kadmon Provides Business Update and Reports Second Quarter 2021 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Second Quarter 2021 Financial Results NEW YORK, August 5, 2021 ? Kadmon Holdings, Inc. (Nasdaq: KDMN) today provided a business update and reported financial and operational results for the second quarter of 2021. ?The recent U.S. FDA approval of REZUROCK marked a transformative event for Kadmon and for patients living with cGVHD. REZUROCK r |
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| August 5, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 001- |
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| July 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 19, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fil |
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| July 19, 2021 |
Exhibit 99.1 ? ? U.S. FDA Grants Full Approval of REZUROCK? (belumosudil) for the Treatment of Patients with Chronic Graft-Versus-Host Disease (cGVHD) ? ? REZUROCK is approved for the treatment of adult and pediatric patients 12 years and older with cGVHD after failure of at least two prior lines of systemic therapy ? ? Kadmon to Host Conference Call on Monday, July 19, 2021 at 8:00 a.m. ET ? ? NE |
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| May 28, 2021 |
KDMN / Kadmon Holdings Inc / Third Point LLC - SCHEDULE 13G/A, AMENDMENT #3 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| May 12, 2021 |
Amended and Restated Kadmon Holdings, Inc. 2016 Equity Incentive Plan Exhibit 10.1 ? AMENDED AND RESTATED KADMON HOLDINGS, INC. EQUITY INCENTIVE PLAN ? ? TABLE OF CONTENTS ? ? ? Page 1 Establishment, Purpose and Term of Plan 1 ? 1.1 Establishment 1 ? 1.2 Purpose 1 ? 1.3 Term of Plan 1 2 Definitions and Construction 1 ? 2.1 Definitions 1 ? 2.2 Construction 8 3 Administration 8 ? 3.1 Administration by the Committee 8 ? 3.2 Authority of Officers 8 ? 3.3 Administration |
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| May 12, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission File |
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| May 6, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 001 |
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| May 6, 2021 |
Kadmon Provides Business Update and Reports First Quarter 2021 Financial Results Exhibit 99.1 ? ? Kadmon Provides Business Update and Reports First Quarter 2021 Financial Results ? NEW YORK, May 6, 2021 ? Kadmon Holdings, Inc. (Nasdaq: KDMN) today provided a business update and reported financial and operational results for the first quarter of 2021. ?We continue to ramp up commercial launch preparation activities for belumosudil in anticipation of the PDUFA goal date of Augus |
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| May 6, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission File |
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| May 3, 2021 |
? ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| April 1, 2021 |
? ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| April 1, 2021 |
Exhibit 99.1 ? ? Kadmon Doses First Patient in Open-Label Phase 2 Clinical Trial of Belumosudil in Systemic Sclerosis ? NEW YORK, April 1, 2021 ? Kadmon Holdings, Inc. (Nasdaq: KDMN) today announced that the first patient has been dosed in an open-label Phase 2 clinical trial of belumosudil, the Company?s ROCK2 inhibitor, in patients with diffuse cutaneous systemic sclerosis (dcSSc), a chronic imm |
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| April 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fil |
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| April 1, 2021 |
? ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| March 10, 2021 |
Exhibit 99.1 Kadmon Announces U.S. FDA has Extended the Review Period for Belumosudil in Chronic Graft-Versus-Host Disease NEW YORK, March 10, 2021 – Kadmon Holdings, Inc. (Nasdaq: KDMN) today announced that the U.S. Food and Drug Administration (FDA) has extended the review period for the New Drug Application (NDA) for belumosudil for the treatment of chronic graft-versus-host disease (cGVHD) |
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| March 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 5, 2021 |
As filed with the Securities and Exchange Commission on March 5, 2021 Registration No. |
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| March 4, 2021 |
EXHIBIT 10.22 ? Amendment to Employment Agreement ? This Amendment to the Employment Agreement (the ?Amendment?) is made and entered into as of January 8, 2021 and is effective as of January 1, 2021 (the ?Effective Date?) by and between Kadmon Corporation, LLC, a Delaware limited liability company having a principal place of business at 450 East 29th Street, New York, NY 10016 (?Kadmon?) and Grego |
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| March 4, 2021 |
Antibody License Agreement, dated July 22, 2011, between Dyax Corp. and Kadmon Pharmaceuticals, LLC. EXHIBIT 10.2 ? CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT BOTH (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY IF PUBLICLY DISCLOSED. SUCH EXCLUDED INFORMATION HAS BEEN MARKED WITH ?[***]?. ? ANTIBODY LIBRARY LICENSE AGREEMENT ? This ANTIBODY LIBRARY LICENSE AGREEM ENT ("Agreement"), effective as of July 22, 2011 (the "Effective Dat |
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| March 4, 2021 |
EXHIBIT 21.1 ? List of Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Organization Kadmon Corporation, LLC Delaware Kadmon Pharmaceuticals, LLC Pennsylvania ? |
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| March 4, 2021 |
Kadmon Provides Business Update and Reports Fourth Quarter 2020 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Fourth Quarter 2020 Financial Results NEW YORK, March 4, 2021 – Kadmon Holdings, Inc. (Nasdaq: KDMN) today provided a business update and reported financial and operational results for the fourth quarter and full year ended December 31, 2020. “With the acceptance of Kadmon’s new drug application for belumosudil in cGVHD in hand, we are |
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| March 4, 2021 |
EXHIBIT 10.24 ? Amendment to Employment Agreement ? This Amendment to the Employment Agreement (the ?Amendment?) is made and entered into as of January 8, 2021 and is effective as of January 1, 2021 (the ?Effective Date?) by and between Kadmon Corporation, LLC, a Delaware limited liability company having a principal place of business at 450 East 29th Street, New York, NY 10016 (?Kadmon?) and Harla |
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| March 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 001-3784 |
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| March 4, 2021 |
Description of the Company’s Common Stock EXHIBIT 4.2 DESCRIPTION OF CAPITAL STOCK The following summary describes our capital stock and certain provisions of our restated certificate of incorporation, our bylaws, the registration rights agreements to which we and certain of our stockholders are parties and the General Corporation Law of the State of Delaware. Because the following is only a summary, it does not contain all of the informa |
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| March 4, 2021 |
EXHIBIT 10.23 ? Amendment to Employment Agreement ? This Amendment to the Employment Agreement (the ?Amendment?) is made and entered into as of January 8, 2021 and is effective as of January 1, 2021 (the ?Effective Date?) by and between Kadmon Corporation, LLC, a Delaware limited liability company having a principal place of business at 450 East 29th Street, New York, NY 10016 (?Kadmon?) and Steve |
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| March 4, 2021 |
EXHIBIT 10.3 ? FIRST AMENDMENT TO THE ANTIBODY LIBRARY LICENSE AGREEMENT ? This FIRST AMENDMENT TO UCENSE AGREEMENT (this "First Amendment"), dated effective as of July 22, 2015 (the "Amendment Date"), is entered into between DYAX CORP., a Delaware, United States corporation, with offices at 55 Network Drive, Burlington Massachusetts 01803, U.S.A. ("Dyax"), and KADMON PHARMACEUTICALS LLC1 a Delawa |
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| March 4, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fil |
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| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KADMON HOLDINGS INC (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 16, 2021 |
EX-99.1 2 d110935dex991.htm EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 16, 2 |
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| February 16, 2021 |
Exhibit 4.1 ? ? ? ? ? ? ? KADMON HOLDINGS, INC. ? ? and ? U.S. BANK NATIONAL ASSOCIATION ? as Trustee ? ? INDENTURE ? Dated as of February 16, 2021 ? ? 3.625% Convertible Senior Notes due 2027 ? ? ? ? ? ? TABLE OF CONTENTS ? ? Page ARTICLE 1 DEFINITIONS; RULES OF CONSTRUCTION 1 ? Section 1.01 Definitions 1 Section 1.02 Other Definitions 13 Section 1.03 Rules of Construction 13 ? ARTICLE 2 THE NOTE |
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| February 16, 2021 |
Form of Capped Call Confirmation Exhibit 10.1 ? ? [] ? To: Kadmon Holdings, Inc. 450 East 29th Street New York, NY 10016 From: [] Re: [Base][Additional] Capped Call Transaction Ref. No: [] Date: February [?], 2021 Dear Ladies and Gentlemen: The purpose of this communication (this ?Confirmation?) is to set forth the terms and conditions of the above-referenced transaction entered into on the Trade Date specified below (the ?Transa |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KADMON HOLDINGS INC (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 16, 2021 |
Amendment No. 5 to Schedule 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check th |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 2)* MeiraGTx Holdings plc (Name of Issuer) Ordinary Shares, par value $0.00003881 nominal value per share (Title of Class of Securities) G59665 102 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 10, 2021 |
Results of Operations and Financial Condition, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| February 10, 2021 |
EX-99.1 2 kdmn-20210210xex991.htm EX-99.1 Exhibit 99.1 Kadmon Announces Proposed $150 Million Convertible Senior Notes Offering with Capped Call Transactions NEW YORK, February 10, 2021 – Kadmon Holdings, Inc. (Nasdaq: KDMN) today announced its intent to offer, subject to market conditions and other factors, $150 million aggregate principal amount of convertible senior notes due 2027 (the “N |
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| February 10, 2021 |
Exhibit 99.2 Kadmon Holdings, Inc. Disclosure Update as of February 10, 2021 As used in this Exhibit 99.2, unless the context indicates otherwise, references to “Kadmon,” “the Company,” “we,” “us,” “our” and similar references refer to Kadmon Holdings, Inc. and its wholly owned subsidiaries. Special note regarding forward-looking statements This document contains forward-looking statements w |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Kadmon Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 48283N106 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Ru |
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| January 14, 2021 |
240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.)* (Name of Issuer) Kadmon Holdings, Inc. (Title of Class of Securities) Common Stock, Par Value $0.001 Per |
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| January 14, 2021 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessi |
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| January 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2021 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| December 7, 2020 |
Exhibit 99.1 Kadmon Announces 12-Month Data from Pivotal Trial of Belumosudil for cGVHD at the 62nd ASH Annual Meeting - ORRs of 73% and 77% with Belumosudil 200 mg QD and 200 mg BID, Respectively – - cGVHD Key Opinion Leader Webcast Today at 2:15 p.m. Eastern Time (11:15 a.m. Pacific Time) - NEW YORK, December 6, 2020 – Kadmon Holdings, Inc. (Nasdaq: KDMN) today announced 12-month data from ROC |
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| December 7, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| December 7, 2020 |
Presentation slides, dated December 6, 2020 Exhibit 99.2 |
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| November 30, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| November 30, 2020 |
Exhibit 99.1 Kadmon Announces FDA Acceptance of NDA for Belumosudil in Patients with Chronic Graft-Versus-Host Disease – FDA Grants Priority Review and Sets PDUFA Action Date of May 30, 2021 – – Application Being Evaluated Under FDA’s Real-Time Oncology Review (RTOR) and Project Orbis Pilot Programs – NEW YORK, November 30, 2020 – Kadmon Holdings, Inc. (NASDAQ: KDMN) today announced that t |
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| November 5, 2020 |
Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| November 5, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: |
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| November 5, 2020 |
Kadmon Provides Business Update and Reports Third Quarter 2020 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Third Quarter 2020 Financial Results NEW YORK, November 5, 2020 – Kadmon Holdings, Inc. (Nasdaq: KDMN) today provided a business update and reported financial and operational results for the third quarter of 2020. “The submission of our belumosudil New Drug Application to the FDA represents a significant achievement for Kadmon and adva |
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| October 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-37841 Kadmon Holdings, Inc. New York Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 450 East |
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| October 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 27-3576929 (State or other Jurisdiction of Incorporation) (IRS Employer Identification No.) 450 East 29th S |
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| October 13, 2020 |
Kadmon to Transfer U.S. Stock Exchange Listing to Nasdaq Exhibit 99.1 Kadmon to Transfer U.S. Stock Exchange Listing to Nasdaq NEW YORK, October 13, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) announced today that it will voluntarily transfer its stock exchange listing from the New York Stock Exchange (NYSE) to the Nasdaq Global Select Market (“Nasdaq”). The Company will retain the “KDMN” ticker with trading on the Nasdaq expected to begin on October |
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| October 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| September 30, 2020 |
Exhibit 99.1 Kadmon Announces Submission of New Drug Application to the U.S. FDA for Belumosudil in Patients with Chronic Graft-Versus-Host Disease Application Being Reviewed Under FDA’s Real-Time Oncology Review (RTOR) Pilot Program NEW YORK, September 30, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the submission of a New Drug Application (NDA) to the U.S. Food and Drug Admin |
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| September 30, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissio |
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| August 13, 2020 |
Kadmon Announces Appointment of Nancy Miller-Rich to Board of Directors Exhibit 99.1 Kadmon Announces Appointment of Nancy Miller-Rich to Board of Directors NEW YORK, August 13, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the appointment of Nancy Miller-Rich to its Board of Directors. “Nancy possesses an extensive, decades-long track record of business development and commercialization success in varying roles across globally focused healthcare org |
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| August 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission F |
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| August 6, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 001- |
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| August 6, 2020 |
Kadmon Provides Business Update and Reports Second Quarter 2020 Financial Results EX-99.1 2 kdmn-20200630xex991.htm EX-99.1 Exhibit 99.1 Kadmon Provides Business Update and Reports Second Quarter 2020 Financial Results NEW YORK, August 6, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the second quarter of 2020. “Following positive topline results from the primary analysis of the ROCKstar piv |
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| August 6, 2020 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| June 23, 2020 |
Exhibit 99.1 Kadmon Doses First Patient in Phase 1 Clinical Trial of KD033, an Anti-PD-L1/IL-15 Fusion Protein, in Adults with Metastatic or Locally Advanced Solid Tumors NEW YORK, June 23, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that the first patient has been dosed in a Phase 1 clinical trial evaluating KD033, an anti-PD-L1/IL-15 fusion protein, in patients with metastati |
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| June 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission F |
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| June 19, 2020 |
Up to $50,000,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-238969 PROSPECTUS SUPPLEMENT Up to $50,000,000 Common Stock We have previously entered into a Controlled Equity OfferingSM sales agreement, or the sales agreement, with Cantor Fitzgerald & Co., or Cantor Fitzgerald, relating to shares of our common stock offered by this prospectus supplement. In accordance with the terms of |
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| June 12, 2020 |
KADMON HOLDINGS, INC. 450 East 29th Street New York, New York 10016 (833) 900-5366 June 12, 2020 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Re:Kadmon Holdings, Inc. Registration Statement on Form S-3 Filed June 5, 2020 File No. 333-238969 Ladies and Gentlemen: In accordance w |
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| June 5, 2020 |
As filed with the Securities and Exchange Commission on June 5, 2020 Registration No. |
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| June 5, 2020 |
As filed with the Securities and Exchange Commission on June 5, 2020 Registration No. |
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| May 21, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 21, 2020 |
Kadmon Announces Positive Topline Results of Pivotal Trial of Belumosudil (KD025) in Chronic Graft-Versus-Host Disease ORRs of 73% and 74% with Belumosduil (KD025) 200 mg QD and 200 mg BID, Respectively Kadmon Participating in FDA’s Real-Time Oncology Review Pilot Program Conference Call Today at 8:30 a. |
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| May 21, 2020 |
Presentation slides, dated May 21, 2020, of Kadmon Holdings, Inc. Exhibit 99.2 |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 7, 2020 |
Kadmon Provides Business Update and Reports First Quarter 2020 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports First Quarter 2020 Financial Results NEW YORK, May 7, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the first quarter of 2020. “We made encouraging progress this past quarter, having completed our pre-NDA meeting with the FDA. Based on the feedback we hav |
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| May 7, 2020 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 7, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 2, 2020 |
KDMN / Kadmon Holdings, Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive |
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| April 2, 2020 |
KDMN / Kadmon Holdings, Inc. DEF 14A - - DEF 14A DEF 14A 1 kdmn-20200513xdef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| March 10, 2020 |
8-K 1 kdmn-20200310x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction |
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| March 5, 2020 |
EXHIBIT 21.1 List of Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Organization Kadmon Corporation, LLC Delaware Kadmon Pharmaceuticals, LLC Pennsylvania |
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| March 5, 2020 |
Description of the Company’s Common Stock EXHIBIT 4.2 DESCRIPTION OF CAPITAL STOCK The following summary describes our capital stock and certain provisions of our restated certificate of incorporation, our bylaws, the registration rights agreements to which we and certain of our stockholders are parties and the General Corporation Law of the State of Delaware. Because the following is only a summary, it does not contain all of the informa |
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| March 5, 2020 |
Kadmon Highlights Recent Progress and Reports Fourth Quarter and Full Year 2019 Financial Results Exhibit 99.1 Kadmon Highlights Recent Progress and Reports Fourth Quarter and Full Year 2019 Financial Results NEW YORK, March 5, 2020 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the fourth quarter and full year ended December 31, 2019. “We achieved significant progress in 2019, led by positive results from the in |
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| March 5, 2020 |
KDMN / Kadmon Holdings, Inc. 10-K - Annual Report - 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 5, 2020 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission F |
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| March 5, 2020 |
EXHIBIT 10.29 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT, dated as of November 19, 2019 (the “Agreement”), is entered into between Kadmon Corporation, LLC, a Delaware limited liability company (the “Company”), and Harlan W. Waksal, M.D., an individual with a place of domicile of [ADDRESS REDACTED] (the “Employee”). Each of Company and Employee a “Party” and collectively, the “Parties”. WHE |
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| February 24, 2020 |
Kadmon Announces Expanded Results of Interim Analysis of Pivotal Trial of KD025 in cGVHD Patient Analyses and Safety Data Continue to Underscore Positive Impact of KD025 in cGVHD Pre-NDA Meeting with FDA Planned for March 2020; Topline Results of Primary Analysis to be Announced in Q2 2020 NEW YORK, February 23, 2020 – Kadmon Holdings, Inc. |
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| February 24, 2020 |
Financial Statements and Exhibits 8-K 1 kdmn-20200224x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2020 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdict |
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| February 14, 2020 |
MGTX / MeiraGTx Holdings plc / Kadmon Holdings, Inc. - KDMN SC 13GA Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 1)* MeiraGTx Holdings plc (Name of Issuer) Ordinary Shares, par value $0.00003881 nominal value per share (Title of Class of Securities) G59665 102 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box |
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| February 14, 2020 |
KDMN / Kadmon Holdings, Inc. / ACUTA CAPITAL PARTNERS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KADMON HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 48283N106 (CUSIP Number) ACUTA CAPITAL PARTNERS LLC, 1301 SHOREWAY ROAD, SUITE 350, BELMONT CA 94002 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 KADMON HOLDINGS INC (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 14, 2020 |
EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 14, 2020 PERCEPTIVE ADVISORS LLC |
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| February 14, 2020 |
Amendment No. 3 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 14, 2020 |
KDMN / Kadmon Holdings, Inc. / Puissance Cross-border Opportunities Iv Llc Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.3) * Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) * Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| November 19, 2019 |
KDMN / Kadmon Holdings, Inc. / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 KADMON HOLDINGS, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 48283N106 (CUSIP Number) NOVEMBER 12, 2019 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to whi |
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| November 19, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissi |
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| November 14, 2019 |
26,000,000 Shares Kadmon Holdings, Inc. Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-233766 PROSPECTUS SUPPLEMENT (To Prospectus dated September 24, 2019) 26,000,000 Shares Kadmon Holdings, Inc. Common Stock We are offering 26,000,000 shares of common stock, par value $0.001 per share, in this offering. Our common stock is listed on the New York Stock Exchange (“NYSE”) under the symbol “KDMN”. On Novembe |
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| November 14, 2019 |
Exhibit 1.1 Kadmon Holdings, Inc. 26,000,000 Shares of Common Stock ($0.001 par value) Underwriting Agreement New York, New York November 13, 2019 Jefferies LLC Cantor Fitzgerald & Co. As Representatives of the several Underwriters, c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 c/o Cantor Fitzgerald & Co. 499 Park Avenue New York, New York 10022 Ladies and Gentlemen: Kadm |
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| November 14, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissi |
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| November 13, 2019 |
Table of Contents The information contained in this preliminary prospectus supplement is not complete and may be changed. |
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| November 13, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissi |
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| November 13, 2019 |
Presentation slides, dated November 11, 2019, of Kadmon Holdings, Inc. Exhibit 99.2 |
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| November 13, 2019 |
Exhibit 99.1 Kadmon Announces that KD025 Met Primary Endpoint at Interim Analysis of Pivotal Trial in Chronic Graft-Versus-Host Disease KD025 Achieved ORRs of 64% with KD025 200 mg QD and 67% with KD025 200 mg BID Conference Call Today at 5:00 p.m. Eastern Time NEW YORK, November 11, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced positive topline results from the planned interim ana |
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| November 7, 2019 |
Kadmon Provides Business Update and Reports Third Quarter 2019 Financial Results EX-99.1 2 kdmn-20191107xex991.htm EX-99.1 Exhibit 99.1 Kadmon Provides Business Update and Reports Third Quarter 2019 Financial Results NEW YORK, November 7, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the third quarter of 2019. “Following the completion of enrollment in our registration trial of KD025 in cGVHD in |
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| November 7, 2019 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissio |
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| November 7, 2019 |
EXHIBIT 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE This Separation Agreement and General Release (this “Agreement”), entered into as of August 29, 2019 and effective as of August 30, 2019, is entered into by and between Steven N. Gordon (“Employee” or “you”) and Kadmon Corporation, LLC, a Delaware limited liability company (together with Kadmon Holdings, Inc., a Delaware corporation (“Paren |
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| November 7, 2019 |
KDMN / Kadmon Holdings, Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 7, 2019 |
EXHIBIT 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT, effective August 30, 2019 (the “Agreement”), is entered into between Kadmon Corporation, LLC, a Delaware limited liability company (the “Company”), and Gregory S. Moss, an individual with a residence at [ADDRESS REDACTED] (the “Employee”). Each of Company and Employee a “Party” and collectively, the “Parties”. WHEREAS, the Parties |
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| September 26, 2019 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-233766 PROSPECTUS Kadmon Holdings, Inc. $200,000,000 Common Stock Preferred Stock Debt Securities Warrants Purchase Contracts Units and 7,339,019 Shares of Common Stock Offered by the Selling Stockholders We may offer and sell, from time to time, common stock, preferred stock, debt securities, warrants, purchase contracts or units, or any |
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| September 26, 2019 |
Up to $50,000,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-233766 PROSPECTUS Up to $50,000,000 Common Stock We have previously entered into a Controlled Equity OfferingSM sales agreement with Cantor Fitzgerald & Co., or Cantor Fitzgerald, relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, under this prospectus we m |
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| September 20, 2019 |
KDMN / Kadmon Holdings, Inc. CORRESP - - Kadmon Holdings, Inc. 450 East 29th Street New York, NY 10016 September 20, 2019 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Tonya K. Aldave Re: Kadmon Holdings, Inc. Registration Statement on Form S-3 Filed September 13, 2019 File No. 333-233766 Ladies and Gentlemen: Pursuant to Rule 461 under the |
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| September 13, 2019 |
KDMN / Kadmon Holdings, Inc. S-8 - - S-8 As filed with the Securities and Exchange Commission on September 13, 2019 Registration No. |
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| September 13, 2019 |
KDMN / Kadmon Holdings, Inc. S-3 - - S-3 As filed with the Securities and Exchange Commission on September 13, 2019 Registration No. |
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| August 30, 2019 |
Exhibit 99.1 Kadmon Announces Appointment of Gregory S. Moss as Executive Vice President, General Counsel and Corporate Secretary NEW YORK, August 30, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the appointment of Gregory S. Moss, Esq. as Executive Vice President, General Counsel and Corporate Secretary. Mr. Moss will also serve as the Company’s Chief Compliance Officer. “Greg |
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| August 30, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 30, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| August 5, 2019 |
Kadmon Provides Business Update and Reports Second Quarter 2019 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Second Quarter 2019 Financial Results NEW YORK, August 5, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the second quarter of 2019. “We have made steady progress advancing KD025 for the treatment of cGVHD and expect the second half of 2019 to feature key milest |
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| August 5, 2019 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| August 5, 2019 |
KDMN / Kadmon Holdings, Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 5, 2019 |
EXHIBIT 3.1 RESTATED CERTIFICATE OF INCORPORATION OF KADMON HOLDINGS, INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) Kadmon Holdings, Inc., a corporation organized and existing under the Delaware General Corporation Law (the “Delaware General Corporation Law”), DOES HEREBY CERTIFY: ARTICLE I The name of the corporation is Kadmon Holdings, Inc. ( |
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| July 9, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 9, 2019 |
Kadmon Doses First Patient in Phase 2 Clinical Trial of KD025 in Systemic Sclerosis Exhibit 99.1 Kadmon Doses First Patient in Phase 2 Clinical Trial of KD025 in Systemic Sclerosis NEW YORK, July 9, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that the first patient has been dosed in a Phase 2 clinical trial of KD025, the Company’s ROCK2 inhibitor, in patients with diffuse cutaneous systemic sclerosis (SSc). SSc is a chronic immune disorder characterized by fibro |
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| May 16, 2019 |
Certificate of Amendment to the Certificate of Incorporation of Kadmon Holdings, Inc. EXHIBIT 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF KADMON HOLDINGS, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Kadmon Holdings, Inc. (hereinafter called the "Corporation"), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify as follows: FIRST: A res |
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| May 16, 2019 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 15, 2019 |
KDMN / Kadmon Holdings, Inc. DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive |
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| May 9, 2019 |
KDMN / Kadmon Holdings, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 0 |
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| May 9, 2019 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 9, 2019 |
EXHIBIT 10.1 EMPLOYMENT AGREEMENT This AGREEMENT, effective February 8, 2019 (the “Agreement”), is entered into between Kadmon Corporation, LLC, a Delaware corporation (the “Company”), and Steven Meehan, an individual with a residence at P.O. Box 493, Alpine, NJ 07620 (the “Employee”). In consideration of the Employee’s employment by the Company, and for other good and valuable consideration, |
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| May 9, 2019 |
Kadmon Provides Business Update and Reports First Quarter 2019 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports First Quarter 2019 Financial Results NEW YORK, May 9, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the first quarter of 2019. “The advancement of KD025 for the treatment of cGVHD continues to be Kadmon’s key priority. We recently held a Type B Breakthrough T |
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| April 2, 2019 |
KDMN / Kadmon Holdings, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive |
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| April 2, 2019 |
KDMN / Kadmon Holdings, Inc. DEF 14A DEF 14A 1 kdmn-20190402xdef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| March 22, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive |
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| March 22, 2019 |
8-K 1 kdmn-20190322x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction |
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| March 22, 2019 |
Kadmon Announces Susan Wiviott to Step Down from Board of Directors Exhibit 99.1 Kadmon Announces Susan Wiviott to Step Down from Board of Directors NEW YORK, March 22, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that Susan Wiviott does not intend to stand for re-election to Kadmon’s Board of Directors at the upcoming annual meeting of shareholders on May 15, 2019 (the “Annual Meeting”). On March 21, 2019, Ms. Wiviott provided notice to the Compa |
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| March 7, 2019 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission F |
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| March 7, 2019 |
Kadmon Provides Business Update and Reports Fourth Quarter and Full Year 2018 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Fourth Quarter and Full Year 2018 Financial Results NEW YORK, March 7, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the fourth quarter and full year ended December 31, 2018. “We continued to make strong progress in advancing KD025 throughout 2018, notabl |
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| March 7, 2019 |
KDMN / Kadmon Holdings, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 001-37841 Kadmon |
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| March 7, 2019 |
EXHIBIT 21.1 List of Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Organization Kadmon Corporation, LLC Delaware Kadmon Pharmaceuticals, LLC Pennsylvania |
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| March 7, 2019 |
EXHIBIT 10.41 SIXTH WAIVER AGREEMENT TO CREDIT AGREEMENT This SIXTH WAIVER AGREEMENT TO CREDIT AGREEMENT, dated as of March 6, 2019 (this “Agreement”), is entered into by and among Kadmon Pharmaceuticals, LLC, a Pennsylvania limited liability company (the “Borrower”), the guarantors party hereto and the lender listed on the signature page hereof under the heading “LENDER”. Unless otherwise def |
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| March 7, 2019 |
EX-10.40 3 kdmn-20181231xex1040.htm EX-10.40 EXHIBIT 10.40 SEPARATION AGREEMENT AND GENERAL RELEASE This Separation Agreement and General Release (this “Agreement”) dated as of November 30, 2018, is entered into by and between Konstantin Poukalov (“Employee” or “you”) and Kadmon Corporation, LLC, a Delaware limited liability company (together with Kadmon Holdings, Inc., a Delaware corporation |
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| March 7, 2019 |
EXHIBIT 10.39 KADMON HOLDINGS, INC. PERFORMANCE STOCK OPTION AGREEMENT Kadmon Holdings, Inc. (the “Company”) has granted to the Participant named in the Notice of Grant of Stock Option (the “Grant Notice”) to which this Performance Stock Option Agreement (the “Option Agreement”) is attached an option (the “Option”) to purchase certain shares of Stock with the terms and conditions set forth in |
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| February 14, 2019 |
KDMN / Kadmon Holdings, Inc. / ACUTA CAPITAL PARTNERS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KADMON HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 48283N106 (CUSIP Number) ACUTA CAPITAL PARTNERS LLC, 1301 SHOREWAY ROAD, SUITE 350, BELMONT CA 94002 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| February 14, 2019 |
KDMN / Kadmon Holdings, Inc. / Puissance Cross-border Opportunities Iv Llc Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2) * Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) February 14, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 14, 2019 |
KDMN / Kadmon Holdings, Inc. / RA Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 14, 2019 |
Amendment No. 3 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 11, 2019 |
Kadmon Announces Appointment of Steven Meehan as CFO Exhibit 99.1 Kadmon Announces Appointment of Steven Meehan as CFO NEW YORK, February 11, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the appointment of Steven Meehan as Executive Vice President, Chief Financial Officer. Mr. Meehan, who has served as a member of the Board of Directors at Kadmon since 2017, has over 25 years of financial leadership experience spanning corporate str |
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| February 11, 2019 |
8-K 1 kdmn-20190211x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdict |
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| February 8, 2019 |
MGTX / MeiraGTx Holdings plc / Kadmon Holdings, Inc. - FORM SC-13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to Rules 13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to Rule 13d-2(b) (Amendment No. )* MeiraGTx Holdings plc (Name of Issuer) Ordinary Shares, par value $0.00003881 nominal value per share (Title of Class of Sec |
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| February 8, 2019 |
KDMN / Kadmon Holdings, Inc. / Third Point LLC - SCHEDULE 13G (AMENDMENT NO. 2) Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 7, 2019 |
8-K 1 kdmn-20190207x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdicti |
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| February 7, 2019 |
Kadmon Announces Appointment of David E. Cohen, M.D., MPH, to Board of Directors Exhibit 99.1 Kadmon Announces Appointment of David E. Cohen, M.D., MPH, to Board of Directors NEW YORK, February 7, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the appointment of David E. Cohen, M.D., MPH, to its Board of Directors. Dr. Cohen has held a variety of positions at the New York University School of Medicine, including as Chief of Allergy and Contact Dermatitis, Vice C |
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| February 5, 2019 |
Other Events, Shareholder Director Nominations UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissio |
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| January 23, 2019 |
8-K 1 kdmn-20190123x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 23, 2019 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdicti |
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| January 23, 2019 |
Kadmon Announces Appointment of Cynthia Schwalm to Board of Directors EX-99.1 2 kdmn-20190123xex991.htm EX-99.1 Exhibit 99.1 Kadmon Announces Appointment of Cynthia Schwalm to Board of Directors NEW YORK, January 23, 2019 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the appointment of Cynthia Schwalm to its Board of Directors. Ms. Schwalm has extensive pharmaceutical industry experience, having held management roles at Johnson & Johnson, Amgen and Eisai, |
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| January 8, 2019 |
KDMN / Kadmon Holdings, Inc. / Vivo Capital VIII, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) * Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 48283N106 (CUSIP Number) January 7, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| December 27, 2018 |
Kadmon Chairman Bart M. Schwartz to Step Down from Board Exhibit 99.1 Kadmon Chairman Bart M. Schwartz to Step Down from Board NEW YORK, December 27, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that Bart M. Schwartz, Esq. is stepping down as director and Chairman of the Board of Directors (the “Board”) due to increasing responsibilities at his charitable commitments, including at the All Stars Project, a national youth non-profit organ |
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| December 27, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 26, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissi |
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| December 3, 2018 |
Exhibit 99.1 Kadmon Announces Updated Findings from Ongoing Phase 2 Clinical Trial of KD025 in cGVHD at ASH Annual Meeting NEW YORK, December 3, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced updated data from its ongoing Phase 2 clinical trial of KD025, its selective oral inhibitor of Rho-associated coiled-coil kinase 2 (ROCK2), in patients with previously treated chronic graft-ver |
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| December 3, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 kdmn-20181203x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 3, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdicti |
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| November 9, 2018 |
Kadmon Provides Business Update and Reports Third Quarter 2018 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Third Quarter 2018 Financial Results NEW YORK, November 9, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the third quarter of 2018. “We have made tremendous progress in recent months to advance development of KD025 for the treatment of cGVHD, including receip |
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| November 9, 2018 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissio |
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| November 9, 2018 |
KDMN / Kadmon Holdings, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Num |
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| October 25, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissio |
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| October 25, 2018 |
Kadmon Initiates Pivotal Phase 2 Trial of KD025 in Chronic Graft-Versus-Host Disease EX-99.1 2 kdmn-20181025xex991.htm EX-99.1 Exhibit 99.1 Kadmon Initiates Pivotal Phase 2 Trial of KD025 in Chronic Graft-Versus-Host Disease NEW YORK, October 25, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that the first patient has been dosed in a pivotal clinical trial of KD025 in chronic graft-versus-host disease (cGVHD). The study will evaluate the efficacy and safety of KD02 |
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| October 24, 2018 |
Financial Statements and Exhibits 8-K 1 kdmn-20181024x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 24, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdicti |
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| October 24, 2018 |
Kadmon Announces CFO Transition and Other Updates EX-99.1 2 kdmn-20181024xex991.htm EX-99.1 Exhibit 99.1 Kadmon Announces CFO Transition and Other Updates NEW YORK, October 24, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that Konstantin Poukalov has notified the company of his intent to step down as Executive Vice President, Chief Financial Officer (CFO) and Principal Accounting Officer (PAO), effective immediately. Kyle Carver, t |
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| October 17, 2018 |
Exhibit 99.1 FDA Grants Breakthrough Therapy Designation to Kadmon’s KD025 for Chronic Graft-Versus-Host Disease NEW YORK, October 17, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced that the U.S. Food and Drug Administration (FDA) has granted Breakthrough Therapy Designation to KD025, the company’s ROCK2 inhibitor, for the treatment of patients with chronic graft-versus-host disease ( |
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| October 17, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commissio |
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| August 16, 2018 |
EXECUTION VERSION AMENDMENT #5 TO CREDIT AGREEMENT AND AMENDMENT TO WARRANT CERTIFICATE This AMENDMENT #5 TO CREDIT AGREEMENT AND AMENDMENT TO WARRANT CERTIFICATE, dated as of August 15, 2018 (this “Fifth Amendment”), is made among KADMON PHARMACEUTICALS, LLC, a Pennsylvania limited liability company (the “Borrower”), certain Affiliates of the Borrower listed on the signature pages hereof unde |
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| August 16, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2018 (August 15, 2018) Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorpor |
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| August 9, 2018 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission |
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| August 9, 2018 |
Kadmon Provides Business Update and Reports Second Quarter 2018 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports Second Quarter 2018 Financial Results NEW YORK, August 9, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the second quarter of 2018. “Kadmon continues to build momentum in 2018 toward additional key milestones, including the planned initiation of our pivot |
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| August 9, 2018 |
KDMN / Kadmon Holdings, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: |
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| July 27, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission F |
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| June 22, 2018 |
Amendment No. 2 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 48283N106 (CUSIP Number) June 12, 2018 (Date of Event Which Requires Filing of this Statement) Check the appr |
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| June 21, 2018 |
KDMN / Kadmon Holdings, Inc. / Vivo Capital VIII, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) * Kadmon Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 48283N106 (CUSIP Number) June 11, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| June 18, 2018 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) George Travers GoldenTree Asset Management LP 300 Park Avenue, 21st Floor New York, NY 10022 (212) 847-3500 (Name, Address and Teleph |
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| June 18, 2018 |
EXHIBIT A Trade Date Shares Sold Weighted Average Price per Share 4/16/2018 29,274 $4. |
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| June 15, 2018 |
KDMN / Kadmon Holdings, Inc. FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a party other than the Registrant Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| June 15, 2018 |
KDMN / Kadmon Holdings, Inc. FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| June 14, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2018 (June 11, 2018) Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) |
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| June 14, 2018 |
Kadmon Announces Pricing of Offerings of Common Stock Exhibit 99.1 Kadmon Announces Pricing of Offerings of Common Stock NEW YORK – June 11, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced the pricing of an offering of an aggregate of 30,303,030 shares of its common stock at an offering price of $3.30 per share in an underwritten offering (the “Underwritten Offering”) and a registered direct offering to certain institutional investors (the |
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| June 14, 2018 |
Exhibit 1.1 Kadmon Holdings, Inc. 26,666,667 Shares of Common Stock ($0.001 par value) Underwriting Agreement New York, New York June 11, 2018 Jefferies LLC As Representative of the several Underwriters, c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Kadmon Holdings, Inc., a Delaware corporation (the “Issuer”), proposes to issue and sell to the several underwri |
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| June 14, 2018 |
Exhibit 10.1 FORM OF SUBSCRIPTION AGREEMENT Kadmon Holdings, Inc. 450 East 29th Street New York, NY 10016 Ladies and Gentlemen: The undersigned (the “Investor”) hereby confirms its agreement with you as follows: 1. This Subscription Agreement (this “Agreement”) is made as of the date set forth below between Kadmon Holdings, Inc., a Delaware corporation (the “Company”), and the Investor. 2. The Com |
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| June 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2018 (June 12, 2018) Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) |
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| June 13, 2018 |
Exhibit 10.1 AMENDMENT #4 TO CREDIT AGREEMENT This AMENDMENT #4 TO CREDIT AGREEMENT, dated as of June 12, 2018 (this “Fourth Amendment”), is made among KADMON PHARMACEUTICALS, LLC, a Pennsylvania limited liability company, (the “Borrower”), certain Affiliates of the Borrower listed on the signature pages hereof under the heading “GUARANTORS” (each a “Guarantor” and, collectively, the “Guarantors”) |
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| June 12, 2018 |
Kadmon Holdings, Inc. 3,636,363 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-222364 PROSPECTUS SUPPLEMENT (To Prospectus dated January 10, 2018) Kadmon Holdings, Inc. 3,636,363 Shares of Common Stock We are offering 3,636,363 shares of common stock, par value $0.001 per share in this offering. The purchase price for each share of common stock is $3.30. Our common stock is listed on The New York Stock Exchange (“NYSE”) u |
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| June 12, 2018 |
Kadmon Holdings, Inc. 26,666,667 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-222364 PROSPECTUS SUPPLEMENT (To Prospectus dated January 10, 2018) Kadmon Holdings, Inc. 26,666,667 Shares of Common Stock We are offering 26,666,667 shares of common stock, par value $0.001 per share in this offering. The purchase price for each share of common stock is $3.30. Our common stock is listed on The New York Stock Exchange (“NYSE”) |
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| June 11, 2018 |
Subject to Completion, dated June 11, 2018 The information contained in this preliminary prospectus supplement is not complete and may be changed. |
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| June 11, 2018 |
Subject to Completion, dated June 11, 2018 424B5 1 dp92144424b5-alt.htm FORM 424B5 The information contained in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. Filed Pursuant to Rule 42 |
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| June 11, 2018 |
Exhibit 99.2 1 Kadmon Holdings, Inc. Corporate Presentation June 2018 2 2 Disclaimers This presentation contains “forward - looking” statements that are based on the beliefs and assumptions and on information currently available to management of Kadmon Holdings, Inc . (the “Company”) . All statements other than statements of historical fact contained in this presentation are forward - looking stat |
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| June 11, 2018 |
Regulation FD Disclosure, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2018 (June 11, 2018) Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) |
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| June 11, 2018 |
KADMON ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK Exhibit 99.1 KADMON ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK NEW YORK – June 11, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced its intention to offer and sell shares of its common stock in a public offering pursuant to an existing shelf registration statement. The offering is subject to market conditions, and there can be no assurance as to whether or when the offering may be |
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| May 29, 2018 |
KDMN / Kadmon Holdings, Inc. FORM 8-K (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2018 (May 25, 2018) Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) ( |
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| May 23, 2018 |
UNITED STATE SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2018 (May 21, 2018) Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (C |
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| May 8, 2018 |
Kadmon Provides Business Update and Reports First Quarter 2018 Financial Results Exhibit 99.1 Kadmon Provides Business Update and Reports First Quarter 2018 Financial Results NEW YORK, May 8, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided a business update and reported financial and operational results for the first quarter of 2018. “We have made significant progress this quarter in the development of KD025 in cGVHD, highlighted by our alignment with the FDA |
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| May 8, 2018 |
Results of Operations and Financial Condition 8-K 1 kdmn-20180508x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of |
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| May 8, 2018 |
Exhibit 10.1 KADMON HOLDINGS, INC. AMENDED AND RESTATED 2016 EMPLOYEE STOCK PURCHASE PLAN TABLE OF CONTENTS Page 1. Establishment, Purpose and Term of Plan 1 1.1 Establishment 1 1.2 Purpose 1 1.3 Term of Plan 1 2. Definitions and Construction 1 2.1 Definitions 1 2.2 Construction 5 3. Administration 5 3.1 Administration by the Committee 5 3.2 Authority of Officers 6 3.3 Powe |
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| May 8, 2018 |
KDMN / Kadmon Holdings, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: |
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| April 13, 2018 |
KDMN / Kadmon Holdings, Inc. / Puissance Cross-border Opportunities Iv Llc Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1) * Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) October 10, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| April 10, 2018 |
Kadmon Receives FDA Guidance on Pivotal Clinical Trial Design for KD025 in Chronic Graft-Versus-Host Disease NEW YORK, April 10, 2018 – Kadmon Holdings, Inc. |
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| April 10, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATE SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission Fil |
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| April 9, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 3, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or Other Jurisdiction of Incorporation or Organization) |
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| April 9, 2018 |
EX-10.1 2 dp89374ex1001.htm EXHIBIT 10.1 EXHIBIT 10.1 KADMON HOLDINGS, INC. PERFORMANCE STOCK OPTION AGREEMENT Kadmon Holdings, Inc. (the “Company”) has granted to the Participant named in the Notice of Grant of Stock Option (the “Grant Notice”) to which this Performance Stock Option Agreement (the “Option Agreement”) is attached an option (the “Option”) to purchase certain shares of Stock with th |
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| March 6, 2018 |
Kadmon Reports Upcoming Milestones and Fourth Quarter and Full Year 2017 Financial Results EX-99.1 2 kdmn-20180306xex991.htm EX-99.1 Exhibit 99.1 Kadmon Reports Upcoming Milestones and Fourth Quarter and Full Year 2017 Financial Results NEW YORK, March 6, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today provided an update on upcoming milestones and recent achievements, and reported financial and operational results for the fourth quarter and full year ended December 31, 2017. “ |
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| March 6, 2018 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation) (Commission F |
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| March 6, 2018 |
EX-10.57 2 kdmn-20171231xex1057.htm EX-10.57 Exhibit 10.57 KADMON HOLDINGS, INC. EQUITY INCENTIVE PLAN TABLE OF CONTENTS Page 1 Establishment, Purpose and Term of Plan 1 1.1 Establishment 1 1.2 Purpose 1 1.3 Term of Plan 1 2 Definitions and Construction 1 2.1 Definitions 1 2.2 Construction 8 3 Administration 8 3.1 Administration by the Committee 8 3.2 Authority of Officer |
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| March 6, 2018 |
Exhibit 10.59 FIFTH WAIVER AGREEMENT TO CREDIT AGREEMENT This FIFTH WAIVER AGREEMENT TO CREDIT AGREEMENT, dated as of March 2, 2018 (this “Agreement”), is entered into by and among Kadmon Pharmaceuticals, LLC, a Pennsylvania limited liability company (the “Borrower”), the guarantors party hereto and each of the lenders listed on the signature pages hereof under the heading “LENDERS”. Unless otherw |
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| March 6, 2018 |
Exhibit 10.58 KADMON HOLDINGS, INC. STOCK APPRECIATION RIGHT AGREEMENT (For U.S. Participants with Employment Agreements) Kadmon Holdings, Inc. (the “Company”) has granted to the Participant named in the Notice of Grant of Stock Appreciation Right (the “Grant Notice”) to which this Stock Appreciation Right Agreement (For U.S. Participants with Employment Agreements) (the “SAR Agreement”) is attach |
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| March 6, 2018 |
KDMN / Kadmon Holdings, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to . Commission File Number: 001-37841 |
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| March 6, 2018 |
EXHIBIT 21.1 List of Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Organization Kadmon Corporation, LLC Delaware Kadmon Pharmaceuticals, LLC Pennsylvania |
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| February 22, 2018 |
Kadmon Announces Updated Positive Results from Phase 2 Study of KD025 in cGVHD EX-99.1 2 kdmn-20180222xex991.htm EX-99.1 Exhibit 99.1 Kadmon Announces Updated Positive Results from Phase 2 Study of KD025 in cGVHD NEW YORK, February 22, 2018 – Kadmon Holdings, Inc. (NYSE: KDMN) today announced updated positive results from an ongoing Phase 2 clinical trial (KD025-208) evaluating KD025, its Rho-associated coiled-coil kinase 2 (ROCK2) inhibitor, in patients with chronic gra |
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| February 22, 2018 |
Financial Statements and Exhibits 8K - cGVHD ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2018 Kadmon Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37841 27-3576929 (State or other jurisdiction of incorporation |
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| February 14, 2018 |
KDMN / Kadmon Holdings, Inc. / ACUTA CAPITAL PARTNERS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KADMON HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 48283N106 (CUSIP Number) ACUTA CAPITAL PARTNERS LLC, 1301 SHOREWAY ROAD, SUITE 350, BELMONT CA 94002 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| February 14, 2018 |
Amendment No. 1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N 10 6 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 14, 2018 |
KDMN / Kadmon Holdings, Inc. / RA Capital Management, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Kadmon Holdings, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 48283N106 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
