Filing Details
- Accession Number:
- 0001104659-22-011410
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-02-03 17:00:53
- Reporting Period:
- 2022-02-01
- Accepted Time:
- 2022-02-03 17:00:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1722964 | Y-Mabs Therapeutics Inc. | YMAB | Pharmaceutical Preparations (2834) | 474619612 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1753224 | Thomas Gad | C/O Y-Mabs Therapeutics, Inc. 230 Park Avenue, Suite 3350 New York NY 10169 | See Remarks | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-02-01 | 8,000 | $2.00 | 58,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-02-01 | 8,000 | $10.15 | 50,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2022-02-01 | 8,000 | $0.00 | 8,000 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 153,000 | 2025-06-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 982,366 | Indirect | By GAD Enterprises LLC |
| Common Stock | 60,000 | Indirect | By Children |
Footnotes
- 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 provideupon 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.
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