Filing Details
- Accession Number:
- 0001127602-23-004055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-08 17:42:32
- Reporting Period:
- 2023-02-06
- Accepted Time:
- 2023-02-08 17:42:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1835597 | Pepgen Inc. | PEPG | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1922548 | Jaya Goyal | 321 Harrison Ave., 8Th Floor C/O Pepgen Inc. Boston MA 02118 | Evp, Res. & Preclin. Dev. | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-02-06 | 1,677 | $10.88 | 1,677 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-06 | 1,677 | $17.04 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-02-07 | 3,679 | $10.88 | 3,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-07 | 3,679 | $17.18 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-02-08 | 644 | $10.88 | 644 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-08 | 644 | $17.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-02-06 | 1,677 | $0.00 | 1,677 | $10.88 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-02-07 | 3,679 | $0.00 | 3,679 | $10.88 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-02-08 | 644 | $0.00 | 644 | $10.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 148,519 | 2031-11-10 | No | 4 | M | Direct | |
| 144,840 | 2031-11-10 | No | 4 | M | Direct | |
| 144,196 | 2031-11-10 | No | 4 | M | Direct |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2022.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.12, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- This stock option vests over four years following the vesting commencement date (October 15, 2021) with 25% of such shares vesting on the first anniversary of the vesting commencement date, and the remaining shares vesting in 36 equal monthly installments, subject to continued service through each vesting date.
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