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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1557142	Kadmon Holdings Inc.	KDMN	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1449008	Harlan Waksal	C/O Kadmon Holdings, Inc. 450 East 29Th Street New York NY 10016	President, Ceo	No	No	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, Par Value $0.001	Acquisiton	2018-09-28	5,882	$2.84	116,629	No	4	A	Direct
Common Stock, Par Value $0.001	Acquisiton	2019-03-29	7,716	$2.25	124,345	No	4	A	Direct
Common Stock, Par Value $0.001	Acquisiton	2020-03-11	12,600	$3.96	136,945	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	A	Direct
No	4	P	Direct

Footnotes

The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of April 1, 2018 through September 30, 2018. This transaction is also exempt under Rule 16b-3(c).
The reporting person is voluntarily reporting this transaction on March 11, 2020, but the actual transaction took place on September 28, 2018, the last trading day of the option period under the ESPP.
In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on September 28, 2018, the last trading day of the option period.
The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of October 1, 2018 through March 31, 2019. This transaction is also exempt under Rule 16b-3(c).
The reporting person is voluntarily reporting this transaction on March 11, 2020, but the actual transaction took place on March 29, 2019, the last trading day of the option period under the ESPP.
In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on March 29, 2019, the last trading day of the option period.