0001104659-23-005034.txt : 20230119
0001104659-23-005034.hdr.sgml : 20230119
20230119164234
ACCESSION NUMBER: 0001104659-23-005034
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230117
FILED AS OF DATE: 20230119
DATE AS OF CHANGE: 20230119
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: 23537882
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
tm233937-5_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2023-01-17
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
2023-01-17
4
A
0
40500
0
A
90500
D
Common Stock
565032
I
By GAD Enterprises LLC
Common Stock
60000
I
By Children
Employee Stock Option (right to buy)
4.70
2023-01-17
4
A
0
243200
0
A
2033-01-17
Common Stock
243200
243200
D
Represents 40,500 restricted stock units ("RSUs") granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan of Y-mAbs Therapeutics, Inc. Each RSU represents a contingent right to receive one share of Common Stock on the vesting dates of the RSU. The RSUs vest by 1/3 on each of January 17, 2024, January 17, 2025 and January 17, 2026 subject to the continuing employment of the Reporting Person on each vesting date.
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.
Stock options granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan of Y-mAbs Therapeutics, Inc.
The stock options shall vest and become exercisable as to 25% of the shares subject to the option on January 17, 2024, and thereafter vests and become exercisable as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
Founder, President, Interim Chief Executive Officer and Head of Business Development & Strategy
/s/ Thomas Gad
2023-01-19