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
, 201
8
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
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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 29
th
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
:
(
212
) 3
08
-
6000
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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☐
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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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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
☒
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.
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ITEM 2.02
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Results of Operations and Financial Condition.
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On
November
9
, 2018
, Kadmon Holdings, Inc. (the “Company”)
issued a press release announcing its
financial and operational results for the three
and
nine
months ended
September
30
, 201
8
. 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 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 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:
November
9
, 2018
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/s/
Harlan W. Waksal
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Harlan W. Waksal
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President and Chief Executive Officer
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