0001104659-20-140579.txt : 20201230 0001104659-20-140579.hdr.sgml : 20201230 20201230165229 ACCESSION NUMBER: 0001104659-20-140579 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201228 FILED AS OF DATE: 20201230 DATE AS OF CHANGE: 20201230 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gad Thomas CENTRAL INDEX KEY: 0001753224 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38650 FILM NUMBER: 201426415 MAIL ADDRESS: STREET 1: C/O Y-MABS THERAPEUTICS, INC. STREET 2: 230 PARK AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10169 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Y-mAbs Therapeutics, Inc. CENTRAL INDEX KEY: 0001722964 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474619612 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 750 THIRD AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-847-9841 MAIL ADDRESS: STREET 1: 750 THIRD AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 tm2039623-1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-12-28 0 0001722964 Y-mAbs Therapeutics, Inc. YMAB 0001753224 Gad Thomas C/O Y-MABS THERAPEUTICS, INC. 230 PARK AVENUE, 33RD FLOOR NEW YORK NY 10169 1 1 0 0 See Remarks Common Stock 2020-12-28 4 M 0 7000 2.00 A 7000 D Common Stock 2020-12-28 4 S 0 7000 51.9761 D 0 D Common Stock 618000 I By GAD Enterprises LLC Common Stock 1030356 I By WG Biotech ApS Employee Stock Option (right to buy) 2.00 2020-12-28 4 M 0 7000 0 D 2025-06-10 Common Stock 7000 336000 D Represents options exercised pursuant to a rule 10b5-1 trading plan adopted by the reporting person on November 12, 2020 Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 12, 2020. This transaction was executed in multiple trades at prices ranging from $54.57 to $50.19. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Reporting Person is sole member of GAD Enterprises, LLC and the sole member and manager of GAD Management, LLC, the manager of GAD Enterprises, LLC, and as such Reporting Person has sole voting and dispositive power with respect to such shares. WG Biotech ApS owns 5,508,392 shares of the Issuer's common stock. GAD Enterprises, LLC (of which Reporting Person is sole member) owns approximately 18.71% of WG Biotech ApS but has no voting or dispositive power over the shares of common stock held by WG Biotech ApS. The stock option vested and became exercisable as to 25% of the shares subject to the option on June 10, 2016, and thereafter vested as to 1/48th of the shares in equal monthly installments, until such time as the option was 100% vested on June 10, 2019. Chairman, President and Head of Business Development & Strategy /s/ THOMAS GAD 2020-12-30