0001104659-23-126508.txt : 20231215
0001104659-23-126508.hdr.sgml : 20231215
20231215194050
ACCESSION NUMBER: 0001104659-23-126508
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231213
FILED AS OF DATE: 20231215
DATE AS OF CHANGE: 20231215
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: 231491938
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
tm2332647-5_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-12-13
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
Chief Business Officer
0
Common Stock
2023-12-13
4
S
0
50000
6.58
D
365032
I
By GAD Enterprises LLC
Common Stock
2023-12-14
4
S
0
50000
6.83
D
315032
I
By GAD Enterprises LLC
Common Stock
2023-12-15
4
S
0
50000
6.61
D
265032
I
By GAD Enterprises LLC
Common Stock
60000
I
By Children
Common Stock
90500
D
This transaction was executed in multiple trades at prices ranging from $6.355 to $6.83, inclusive. 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.
This transaction was executed in multiple trades at prices ranging from $6.75 to $7.14. 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.
This transaction was executed in multiple trades at prices ranging from $6.49 to $6.78, inclusive. 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 owned by Reporting Person's children who are deemed to share Reporting Person's household.
Represents 50,000 shares of Common Stock owned by Reporting Person as well as 40,500 restricted stock units ("RSUs") granted to
the Reporting Person on January 17, 2023 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.
/s/ Thomas Gad
2023-12-15