0001104659-22-011410.txt : 20220203
0001104659-22-011410.hdr.sgml : 20220203
20220203170053
ACCESSION NUMBER: 0001104659-22-011410
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220201
FILED AS OF DATE: 20220203
DATE AS OF CHANGE: 20220203
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: 22589496
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: 230 PARK AVENUE
STREET 2: SUITE 3350
CITY: NEW YORK
STATE: NY
ZIP: 10169
BUSINESS PHONE: 212-847-9841
MAIL ADDRESS:
STREET 1: 230 PARK AVENUE
STREET 2: SUITE 3350
CITY: NEW YORK
STATE: NY
ZIP: 10169
4
1
tm225222-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-02-01
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
2022-02-01
4
M
0
8000
2
A
58000
D
Common Stock
2022-02-01
4
S
0
8000
10.1451
D
50000
D
Common Stock
982366
I
By GAD Enterprises LLC
Common Stock
60000
I
By Children
Employee Stock Option (right to buy)
2
2022-02-01
4
M
0
8000
0
D
2025-06-10
Common Stock
8000
153000
D
Represents shares acquired through the exercise of Employee Stock Options.
Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted on 12/14/2021.
This transaction was executed in multiple trades at prices ranging from $9.91 to $10.33. 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.
Represents shares owned by Reporting Person's children who are deemed to share Reporting Person's household.
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
2022-02-02