0001104659-21-011666.txt : 20210203
0001104659-21-011666.hdr.sgml : 20210203
20210203175006
ACCESSION NUMBER: 0001104659-21-011666
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210201
FILED AS OF DATE: 20210203
DATE AS OF CHANGE: 20210203
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: 21587584
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
tm211939-4_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-02-01
0
0001722964
Y-mAbs Therapeutics, Inc.
YMAB
0001753224
Gad Thomas
C/O Y-MABS THERAPEUTICS, INC.
230 PARK AVENUE, SUITE 3350
NEW YORK
NY
10169
1
1
0
0
See remarks
Common Stock
2021-02-01
4
M
0
7000
2.00
A
7000
D
Common Stock
2021-02-01
4
S
0
7000
41.9853
D
0
D
Common Stock
2021-02-01
4
S
0
4000
41.972
D
606000
I
By GAD Enterprises LLC
Common Stock
1030356
I
By WG Biotech ApS
Employee Stock Option (right to buy)
2.00
2021-02-01
4
M
0
7000
0
D
2025-06-10
Common Stock
7000
315000
D
Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 12, 2020.
Represents options exercised 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 $41.16 to $43.00. 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.
Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 30, 2020.
This transaction was executed in multiple trades at prices ranging from $41.10 to $43.00. 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
2021-02-03