0001104659-22-059645.txt : 20220512 0001104659-22-059645.hdr.sgml : 20220512 20220512190636 ACCESSION NUMBER: 0001104659-22-059645 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220510 FILED AS OF DATE: 20220512 DATE AS OF CHANGE: 20220512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RA Capital Healthcare Fund LP CENTRAL INDEX KEY: 0001315082 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41374 FILM NUMBER: 22919594 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6177782500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: RA Capital Biotech Fund LP DATE OF NAME CHANGE: 20050121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RA CAPITAL MANAGEMENT, L.P. CENTRAL INDEX KEY: 0001346824 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41374 FILM NUMBER: 22919595 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-2500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: RA CAPITAL MANAGEMENT, LLC DATE OF NAME CHANGE: 20051213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kolchinsky Peter CENTRAL INDEX KEY: 0001384859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41374 FILM NUMBER: 22919592 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Rajeev M. CENTRAL INDEX KEY: 0001619841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41374 FILM NUMBER: 22919591 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RA Capital Nexus Fund II, L.P. CENTRAL INDEX KEY: 0001825376 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41374 FILM NUMBER: 22919593 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-2500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 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 tm2215415-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-05-10 0 0001835597 PepGen Inc. PEPG 0001346824 RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 1 0 1 0 0001315082 RA Capital Healthcare Fund LP 200 BERKELEY STREET 18TH FLOOR BOSTON MA 02116 1 0 1 0 0001825376 RA Capital Nexus Fund II, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 1 0 1 0 0001384859 Kolchinsky Peter C/O RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET 18TH FLOOR BOSTON MA 02116 1 0 1 0 0001619841 Shah Rajeev M. C/O RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET 18TH FLOOR BOSTON MA 02116 1 0 1 0 Common Stock 2022-05-10 4 C 0 3642229 A 3642229 I See footnotes Common Stock 2022-05-10 4 P 0 2979451 12.00 A 6621680 I See footnotes Common Stock 2022-05-10 4 C 0 1052851 A 1052851 I See footnotes Common Stock 2022-05-10 4 P 0 249749 12.00 A 1302600 I See footnotes Common Stock 2022-05-10 4 C 0 207672 A 207672 I See footnotes Series A-2 Preferred Stock 2022-05-10 4 C 0 2199741 0 D Common Stock 2160846 0 I See footnotes Series A-2 Preferred Stock 2022-05-10 4 C 0 425497 0 D Common Stock 417973 0 I See footnotes Series A-2 Preferred Stock 2022-05-10 4 C 0 211410 0 D Common Stock 207672 0 I See footnotes Series B Preferred Stock 2022-05-10 4 C 0 1508048 0 D Common Stock 1481383 0 I See footnotes Series B Preferred Stock 2022-05-10 4 C 0 646306 0 D Common Stock 634878 0 I See footnotes On May 6, 2022, each share of Series A-2 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of the Issuer's common stock at a ratio of 1.018-for-1 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. These securities are held directly by RA Capital Healthcare Fund, L.P. (the "Fund"). These securities are held directly by the RA Capital Nexus Fund II, L.P. (the "Nexus Fund II"). These securities are held directly by the separately managed account (the "Account"). RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund, the Nexus Fund II and the Account. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah disclaim beneficial ownership of any of the reported securities, except to the extent of their pecuniary interest therein. Dr. Joshua Resnick, a Managing Director of the Adviser, serves on the Issuer's board of directors. /s/ Peter Kolchinsky, Manager of RA Capital Management, L.P. 2022-05-12 /s/ Peter Kolchinsky, Manager of RA Capital Healthcare Fund GP, LLC the General Partner of RA Capital Healthcare Fund, L.P. 2022-05-12 /s/ Peter Kolchinsky, Manager of RA Capital Nexus Fund II GP, LLC the General Partner of RA Capital Nexus Fund II, L.P. 2022-05-12 /s/ Peter Kolchinsky, individually 2022-05-12 /s/ Rajeev Shah, individually 2022-05-12