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Filing Details

Accession Number:: 0001104659-22-006024
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-01-20 17:13:00
Reporting Period:: 2022-01-18

Accepted Time:: 2022-01-20 17:13:00
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2022-01-18	8,000	$2.00	58,000	No	4	M	Direct
Common Stock	Disposition	2022-01-18	8,000	$11.54	50,000	No	4	S	Direct
Common Stock	Disposition	2022-01-18	400	$11.46	1,322,920	No	4	S	Indirect	By GAD Enterprises LLC
Common Stock	Disposition	2022-01-19	69,414	$10.89	1,253,506	No	4	S	Indirect	By GAD Enterprises LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	S	Indirect	By GAD Enterprises LLC
No	4	S	Indirect	By GAD Enterprises LLC

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2022-01-18	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
161,000		2025-06-10	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
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 $11.26 to $12.00. 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.
Represents shares sold by lender pursuant to a forced sale of common stock pledged to secure a margin loan pursuant to an agreement with the lender following a margin call on the common stock securing the margin loan.
This transaction was executed in multiple trades at prices ranging from $11.43 to $11.49. 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 $10.52 to $11.43. 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.
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.