Statement of Changes in Beneficial Ownership (4)
May 15 2020 - 04:21PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kruse Bo |
2. Issuer Name and Ticker or Trading Symbol
Y-mAbs Therapeutics, Inc.
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YMAB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, CFO, Secy & Treas. |
(Last)
(First)
(Middle)
C/O Y-MABS THERAPEUTICS, INC., 230 PARK AVENUE, SUITE 3350 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2020 |
(Street)
NEW YORK, NY 10169
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/13/2020 | | S | | 14724 | D | $37.8645 (1) | 285276 | D | |
Common Stock | 5/13/2020 | | S | | 19230 | D | $37.8783 (2) | 37847 | I | By Investeringsselskabet G.H. ApS (3) |
Common Stock | 5/14/2020 | | S | | 28199 | D | $36.0251 (4) | 257077 | D | |
Common Stock | 5/14/2020 | | S | | 37847 | D | $36.0275 (5) | 0 | I | By Investeringsselskabet G.H. ApS (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $39.13 to $37.50. 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. |
(2) | This transaction was executed in multiple trades at prices ranging from $39.13 to $37.50. 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. |
(3) | Investeringsselskabet G.H. ApS is Reporting Person's personal holding company of which Reporting Person is the sole owner and as such has the sole voting and dispositive power with respect to such shares. |
(4) | This transaction was executed in multiple trades at prices ranging from $36.10 to $36.02. 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. |
(5) | This transaction was executed in multiple trades at prices ranging from $36.34 to $36.02. 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 Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kruse Bo C/O Y-MABS THERAPEUTICS, INC. 230 PARK AVENUE, SUITE 3350 NEW YORK, NY 10169 |
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| EVP, CFO, Secy & Treas. |
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Signatures
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/s/ Bo Kruse | | 5/15/2020 |
**Signature of Reporting Person | Date |
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