SEC Form 3 · accession 0001104659-18-057851
Y-mAbs Therapeutics, Inc. · YMAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bo Kruse
Officer — EVP, CFO, Secy & Treas. · Director
Period of report
Sep 20, 2018
Accepted (ET)
Sep 20, 2018 · 5:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001722964
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 300,000 | D | ||
| Common StockF1 | holding | — | — | — | 57,077 | I | By Investeringsselskabet G.H. ApS |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $2.00 | holding | — | — | — | — | Jun 10, 2025 | Common Stock | 300,000 | — | D |
| Employee Stock Option (right to buy)F3 | $4.38 | holding | — | — | — | — | Oct 21, 2026 | Common Stock | 133,000 | — | D |
| Employee Stock Option (right to buy)F4 | $8.50 | holding | — | — | — | — | Dec 14, 2026 | Common Stock | 14,000 | — | D |
| Employee Stock Option (right to buy)F5 | $11.16 | holding | — | — | — | — | Apr 24, 2028 | Common Stock | 75,000 | — | D |
Explanation of responses
- F1Investeringsselskabet 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.
- F2The stock option vested and became exercisable as to 25% of the shares subject to the option on June 10, 2016, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- F3The stock option vested and became exercisable as to 25% of the shares subject to the option on October 21, 2017, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- F4The stock option vested and became exercisable as to 25% of the shares subject to the option on December 14, 2017, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- F5The stock option shall vest and become exercisable as to 25% of the shares subject to the option on April 24, 2019, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.