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