0001104659-23-070042.txt : 20230609 0001104659-23-070042.hdr.sgml : 20230609 20230609180054 ACCESSION NUMBER: 0001104659-23-070042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230608 FILED AS OF DATE: 20230609 DATE AS OF CHANGE: 20230609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEALY JAMES CENTRAL INDEX KEY: 0001245624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38650 FILM NUMBER: 231006607 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Y-mAbs Therapeutics, Inc. CENTRAL INDEX KEY: 0001722964 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474619612 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10169 BUSINESS PHONE: 212-847-9841 MAIL ADDRESS: STREET 1: 230 PARK AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10169 4 1 tm2318348-2_4.xml OWNERSHIP DOCUMENT X0407 4 2023-06-08 0 0001722964 Y-mAbs Therapeutics, Inc. YMAB 0001245624 HEALY JAMES C/O SOFINNOVA INVESTMENTS INC. 3000 SAND HILL ROAD, BLDG. 4, SUITE 250 MENLO PARK CA 94025 1 0 0 0 0 Common Stock 2023-06-08 4 A 0 2330 0 A 28108 D Common Stock 2194278 I See footnote Employee Stock Option (right to buy) 8.13 2023-06-08 4 A 0 13950 0 A 2033-06-08 Common stock 13950 13950 D Represents restricted stock units ("RSUs") granted to the Reporting Person as a non-employee director pursuant to the 2018 Equity Incentive Plan of Y-mAbs Therapeutics, Inc. Each RSU represents a contingent right to receive one share of the Issuer's common stock on the vesting date of the RSUs. The RSUs vest in full on the earlier of the first anniversary of the date of grant or the date immediately preceding the date of the Issuer's annual meeting of stockholders held in 2024, subject to the Reporting Person's continued service to Y-mAbs Therapeutics, Inc. on the vesting date. The Reporting Person is one of the managing members of the general partner of Sofinnova Management X-A, L.L.C., the general partner of Sofinnova Management X, L.P., the general partner of Sofinnova Venture Partners X, L.P., which directly holds the reported securities, and, as such, may be deemed to share voting and investment power over such shares. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his proportionate pecuniary interest in Sofinnova Ventures Partners X, L.P. Stock options granted to the Reporting Person as a non-employee director pursuant to the 2018 Equity Incentive Plan of Y-mAbs Therapeutics, Inc. The stock options vest in equal monthly installments during the first year following the date of grant, subject to the Reporting Person's continued service to Y-mAbs Therapeutics, Inc. on each vesting date, and are exercisable immediately upon vesting. /s/ Sune Reinholth Nyland, Attorney-in-Fact for James Healy 2023-06-09