Statement of Changes in Beneficial Ownership (4)
January 20 2021 - 4:17PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
GILL DAVID N |
2. Issuer Name and Ticker or Trading Symbol
Y-mAbs Therapeutics, Inc.
[
YMAB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
C/O Y-MABS THERAPEUTICS, INC., 230 PARK AVENUE SUITE 3350 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/19/2021 |
|
(Street)
NEW YORK, NY 10169
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 1/19/2021 | | M | | 2000 (1) | A | $11.16 | 2000 | D | |
| Common Stock | 1/19/2021 | | S | | 2000 (1) | D | $46.5226 (2) | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
| Non-Employee Stock Option (right to buy) (3) | $11.16 | 1/19/2021 | | M | | | 2000 | (4) | 4/24/2028 | Common stock | 2000 | $0 | 24000 | D | |
| Explanation of Responses: |
| (1) | The option exercise and sale transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. |
| (2) | This transaction was executed in multiple trades at prices ranging from $45.9500 to $47.6800. 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) | Stock option granted to the Reporting Person as a non-employee director pursuant to the 2015 Equity Incentive Plan of Y-mAbs Therapeutics, Inc. |
| (4) | The stock option was (a) granted on April 24, 2018 pursuant to the 2015 Equity Incentive Plan of Y-mAbs Therapeutics, Inc., and (b) represents the right to purchase a total of 32,000 shares of common stock; and (c) vests and becomes exercisable in equal monthly installments until the third anniversary of the date of grant subject to continued service through such dates and unless vesting is accelerated pursuant to the terms of the grant. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
GILL DAVID N
C/O Y-MABS THERAPEUTICS, INC.
230 PARK AVENUE SUITE 3350
NEW YORK, NY 10169 | X |
|
|
|
Signatures
|
| /s/ David N Gill | | 1/20/2021 |
| **Signature of Reporting Person | Date |
Y mAbs Therapeutics (NASDAQ:YMAB)
Historical Stock Chart
From Mar 2024 to Apr 2024
Y mAbs Therapeutics (NASDAQ:YMAB)
Historical Stock Chart
From Apr 2023 to Apr 2024
