Oxford Science Enterprises plc - 10 May 2022 Form 4 Insider Report for PepGen Inc. (PEPG)

Role
10%+ Owner
Signature
Oxford Science Enterprises plc, Name: James Wilkinson, Title: Director
Issuer symbol
PEPG
Transactions as of
10 May 2022
Net transactions value
$0
Form type
4
Filing time
10 May 2022, 18:42:49 UTC
Previous filing
05 May 2022
Next filing
01 Oct 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PEPG Common Stock Conversion of derivative security $0 +1,262,986 +1063% $0.000000 1,381,846 10 May 2022 Direct F1
transaction PEPG Common Stock Conversion of derivative security $0 +945,859 +68% $0.000000 2,327,705 10 May 2022 Direct F1
transaction PEPG Common Stock Conversion of derivative security $0 +1,547,713 +66% $0.000000 3,875,418 10 May 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PEPG Series A-1 Preferred stock Conversion of derivative security $0 -1,285,720 -100% $0.000000* 0 10 May 2022 Common Stock 1,262,986 Direct F1
transaction PEPG Series A-2 Preferred stock Conversion of derivative security $0 -962,884 -100% $0.000000* 0 10 May 2022 Common Stock 945,859 Direct F1
transaction PEPG Series B Preferred stock Conversion of derivative security $0 -1,575,572 -100% $0.000000* 0 10 May 2022 Common Stock 1,547,713 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On May 10, 2022, each share of Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 1.018-for-1 basis without payment of further consideration upon closing of the initial public offering of the Issuer's Common Stock. The shares of Preferred Stock had no expiration date.