Gad Thomas's Form 4 filing
Y-mAbs Therapeutics, Inc. (YMAB) · filed Jan 20, 2022
- Accession no.
- 0001104659-22-006024
- Filed
- Jan 20, 2022
- Trade date
- Jan 18-19, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $852.8K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gad ThomasCIK 0001753224 | Director, Officer (See remarks) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 18, 2022 | Common Stock | MOption exerciseAcquired | +8,000 | $2.00F1 | +$16,000 | 58,000 | Direct | |
| Jan 18, 2022 | Common Stock | SSaleDisposed | −8,000 | $11.54F3 | −$92,320 | 50,000 | Direct | |
| Jan 18, 2022 | Common Stock | SSaleDisposed | −400 | $11.46F5 | −$4,584 | 1,322,920 | Indirect | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −69,414 | $10.89F7 | −$755,918.46 | 1,253,506 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 18, 2022 | Common Stock | MOption exerciseDisposed | −8,000 | $0.00 | $0 | 161,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Represents shares acquired through the exercise of Employee Stock Options.
Referenced by the price of 1 transaction in Table I.
- F3
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.
Referenced by the price of 1 transaction in Table I.
- F5
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.
Referenced by the price of 1 transaction in Table I.
- F7
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.
Referenced by the price of 1 transaction in Table I.
Remarks
Chairman, President and Head of Business Development & Strategy