Jaya Goyal - Feb 6, 2023 Form 4 Insider Report for PepGen Inc. (PEPG)

Role
EVP, Res. & Preclin. Dev.
Signature
/s/ Noel Donnelly, as Attorney-in-Fact
Stock symbol
PEPG
Transactions as of
Feb 6, 2023
Transactions value $
-$37,448
Form type
4
Date filed
2/8/2023, 04:42 PM
Previous filing
May 10, 2022
Next filing
Mar 2, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PEPG Common Stock Options Exercise $18.2K +1.68K $10.88 1.68K Feb 6, 2023 Direct F1
transaction PEPG Common Stock Sale -$28.6K -1.68K -100% $17.04 0 Feb 6, 2023 Direct F1, F2
transaction PEPG Common Stock Options Exercise $40K +3.68K $10.88 3.68K Feb 7, 2023 Direct F1
transaction PEPG Common Stock Sale -$63.2K -3.68K -100% $17.18 0 Feb 7, 2023 Direct F1, F3
transaction PEPG Common Stock Options Exercise $7.01K +644 $10.88 644 Feb 8, 2023 Direct F1
transaction PEPG Common Stock Sale -$10.9K -644 -100% $17.00 0 Feb 8, 2023 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 Stock Option (Right to Buy) Options Exercise $0 -1.68K -1.12% $0.00 149K Feb 6, 2023 Common Stock 1.68K $10.88 Direct F1, F4
transaction PEPG Stock Option (Right to Buy) Options Exercise $0 -3.68K -2.48% $0.00 145K Feb 7, 2023 Common Stock 3.68K $10.88 Direct F1, F4
transaction PEPG Stock Option (Right to Buy) Options Exercise $0 -644 -0.44% $0.00 144K Feb 8, 2023 Common Stock 644 $10.88 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.

Remarks:

Executive Vice President, Research & Preclinical Development