Current Report Filing (8-k)
March 04 2021 - 4:03PM
Edgar (US Regulatory)
false000155714200015571422021-03-042021-03-04
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)
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Delaware
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001-37841
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27-3576929
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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450 East 29th Street
New York, NY
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10016
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including area code (833) 900-5366
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common stock, par value $0.001 per share
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KDMN
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Nasdaq Global Select Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company x
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. x
ITEM 2.02
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Results of Operations and Financial Condition.
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On March 4, 2021, Kadmon Holdings, Inc. (the “Company”) issued a press release providing a business update and announcing its financial and operational results for the three months and full year ended December 31, 2020. A copy of this press release is furnished herewith as Exhibit 99.1 to this Current Report.
The information in this Item 2.02, including Exhibit 99.1 hereto, is being “furnished” and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of Section 18 of the Exchange Act. The information in this Item 2.02, including Exhibit 99.1 hereto, shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, or into any filing or other document pursuant to the Exchange Act, except as otherwise expressly stated in any such filing.
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ITEM 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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Effective March 1, 2021, the Board of Directors (the “Board”) of the Company approved a change in title and role for John Ryan, M.D., Ph.D. from Chief Medical Officer to Executive Medical Director. The Board determined that Dr. Ryan, as Executive Medical Director of the Company, will still be classified as an executive officer and Section 16 officer of the Company.
In addition, on March 1, 2021, Simon Cooper, MBBS, was appointed as Senior Vice President, Chief Medical Officer of the Company, effective immediately. The Board has determined that Dr. Cooper’s position as Chief Medical Officer is not classified as an executive officer of the Company.
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ITEM 9.01
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Financial Statements and Exhibits.
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(d) Exhibits.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Kadmon Holdings, Inc.
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Date: March 4, 2021
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Harlan W. Waksal, M.D.
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President and Chief Executive Officer
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