0000899243-22-017502.txt : 20220510 0000899243-22-017502.hdr.sgml : 20220510 20220510185404 ACCESSION NUMBER: 0000899243-22-017502 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220506 FILED AS OF DATE: 20220510 DATE AS OF CHANGE: 20220510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Resnick Joshua CENTRAL INDEX KEY: 0001690959 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41374 FILM NUMBER: 22911514 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE STREET 2: 201 WASHINGTON STREET, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PepGen Inc. CENTRAL INDEX KEY: 0001835597 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 MARINA PARK DRIVE, SUITE 900 CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 703-456-8000 MAIL ADDRESS: STREET 1: 1 MARINA PARK DRIVE, SUITE 900 CITY: BOSTON STATE: MA ZIP: 02210 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-05-06 0 0001835597 PepGen Inc. PEPG 0001690959 Resnick Joshua C/O PEPGEN INC. 245 MAIN STREET CAMBRIDGE MA 02142 1 0 0 0 Stock Option (Right to Buy) 12.00 2022-05-06 4 A 0 11667 0.00 A 2032-05-05 Common Stock 11667 11667 D This option shall vest as follows: twenty-five percent (25%) on the one-year anniversary of the Grant Date and the remainder vesting in thirty-six (36) equal monthly installments, subject to the option recipient's continued service or employment with the Company on each applicable vesting date. Under the Reporting Person's arrangement with RA Capital Management, L.P. (the "Adviser"), the Reporting Person holds the stock option for the benefit of the RA Capital Healthcare Fund, L.P. (the "Fund"), RA Capital Nexus Fund II, L.P. (the "Nexus Fund II"), and a separately managed account (the "Account"). The Reporting Person is obligated to turn over to the Adviser any net cash or stock received upon exercise of the stock option, which will offset advisory fees owed by the Fund, the Nexus Fund II, and the Account to the Adviser. The Reporting Person therefore disclaims beneficial ownership of the stock option and underlying Common Stock." /s/ Noel Donnelly, as Attorney-in-Fact 2022-05-10