Home > Insider Trading > Filing (0001104659-20-136891)

Filing Details

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, 33Rd Floor 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	2020-12-16	7,000	$2.00	7,000	No	4	M	Direct
Common Stock	Disposition	2020-12-16	7,000	$53.01	0	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	2020-12-16	7,000	$0.00	7,000	$2.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
343,000		2025-06-10	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	618,000	Indirect	By GAD Enterprises LLC
Common Stock	1,030,356	Indirect	By WG Biotech ApS

Footnotes

Represents options exercised pursuant to a rule 10b5-1 trading plan adopted by the reporting person on November 12, 2020
Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 12, 2020.
This transaction was executed in multiple trades at prices ranging from $51.72 to $54.00. 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.
WG Biotech ApS owns 5,508,392 shares of the Issuer's common stock. GAD Enterprises, LLC (of which Reporting Person is sole member) owns approximately 18.71% of WG Biotech ApS but has no voting or dispositive power over the shares of common stock held by WG Biotech ApS.
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.