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13G Filing: VIVO Capital VIII, LLC and Kadmon Holdings Inc (KDMN)

Published on October 6, 2017 at 1:30 pm by Insider Monkey Staff in Hedge Funds
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Page 2 of 6 – SEC Filing

CUSIP
No. 48283N106
1 NAMES
OF REPORTING PERSONS		  
Vivo
Capital VIII, LLC		  
2 CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☐ 
(b) ☐ 
3 SEC
USE ONLY
 
4 CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH		 5 SOLE
VOTING POWER
4,666,665
(1)
6 SHARED
VOTING POWER
0
7 SOLE
DISPOSITIVE POWER
4,666,665
(1)
8 SHARED
DISPOSITIVE POWER
0
9 AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,666,665
(1)
10 CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
 ☐ 
11 PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.0%
(2)
12 TYPE
OF REPORTING PERSON (See Instructions)
OO
         
(1) Includes (i) 3,333,333 shares of common stock, $0.001 par value (“Common Stock”) of Kadmon Holdings, Inc. (the
“Issuer”), and (ii) 1,333,332 shares of Common Stock of the Issuer, issuable upon the exercise of 3,333,333 warrants
exercisable within 60 days of September 25, 2017 (the “Reporting Date”), with each warrant representing the right to
purchase 0.4 of a share of Common Stock, provided that the warrant holders will be prohibited from exercising the warrants, if
after giving effect to such exercise, the warrant holders would beneficially own in excess of 9.99% of the shares of Common Stock
of the Issuer outstanding immediately after giving effect to such exercise. The shares of Common Stock and the warrants are held
of record by Vivo Capital Fund VIII, L.P., and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner
of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P.
(2) Based on 75,846,521 shares of Common Stock of the Issuer outstanding after an underwritten offering in which the reporting
person purchased the shares of Common Stock and the warrants, as disclosed in the prospectus supplement filed by the Issuer on
September 27, 2017, pursuant to Rule 424(b)(5) under the Securities Act of 1933, which is part of the Issuer’s Registration
Statement on Form S-3 (File No. 333-219712).

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