0001213900-22-007108.txt : 20220211 0001213900-22-007108.hdr.sgml : 20220211 20220211174856 ACCESSION NUMBER: 0001213900-22-007108 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220210 FILED AS OF DATE: 20220211 DATE AS OF CHANGE: 20220211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Han Liqun CENTRAL INDEX KEY: 0001888562 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39959 FILM NUMBER: 22623174 MAIL ADDRESS: STREET 1: C/O CEPTON, INC. STREET 2: 399 W. TRIMBLE ROAD CITY: SAN JOSE STATE: CA ZIP: 95131 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cepton, Inc. CENTRAL INDEX KEY: 0001498233 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 272447291 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 399 WEST TRIMBLE ROAD CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 408-459-7579 MAIL ADDRESS: STREET 1: 399 WEST TRIMBLE ROAD CITY: SAN JOSE STATE: CA ZIP: 95131 FORMER COMPANY: FORMER CONFORMED NAME: Growth Capital Acquisition Corp. DATE OF NAME CHANGE: 20210910 FORMER COMPANY: FORMER CONFORMED NAME: PinstripesNYS, Inc. DATE OF NAME CHANGE: 20210910 FORMER COMPANY: FORMER CONFORMED NAME: Growth Capital Acquisition Corp. DATE OF NAME CHANGE: 20200225 3 1 ownership.xml X0206 3 2022-02-10 0 0001498233 Cepton, Inc. CPTN 0001888562 Han Liqun C/O CEPTON, INC. 399 W. TRIMBLE RD SAN JOSE CA 95131 0 1 0 0 SVP of Operations Common Stock 489847 I See footnote. Employee Stock Option (right to buy) 0.10 2026-11-14 Common Stock 1959387 D Employee Stock Option (right to buy) 0.97 2029-11-19 Common Stock 489846 D Pursuant to the Business Combination Agreement, dated as of August 4, 2021 (as amended by the Amendment to the Business Combination Agreement, dated as of January 21, 2022, and as it may be further amended or supplemented from time to time, the "Business Combination Agreement"), by and among Growth Capital Acquisition Corp. ("GCAC" and, upon consummation of the business combination, the surviving Issuer as renamed Cepton, Inc.), Cepton Technologies, Inc., a Delaware corporation ("Former Cepton"), and GCAC Merger Sub Inc., a Delaware corporation and a direct, wholly owned subsidiary of GCAC, on February 10, 2022 (the "Effective Date") all shares of stock of Former Cepton and all shares of common stock subject to stock options of Former Cepton were automatically converted into shares of the Issuer's Common Stock based on a 1-to-2.449 conversion ratio. The shares of Common Stock are held by the Han-Ouyang Living Trust, U/A, dated March 21, 2021, of which the reporting person is a trustee. The stock options are fully vested and exercisable. The stock options vested as to 25% of the total number of shares of Common Stock subject to the stock options on November 20, 2020. The remaining 75% of the total number of shares of Common Stock subject to the stock options vest thereafter in 36 substantially equal monthly installments. Exhibit List: Exhibit 24 - Power of Attorney /s/: Jinying (Jenny) Chen, Attorney-in-Fact for Liqun Han 2022-02-11 EX-24 2 ea155309ex24_ceptoninc.htm POWER OF ATTORNEY

Exhibit 24

POWER OF ATTORNEY

FOR SEC FILINGS ON FORMS ID, 3, 4, 5 AND 144

The undersigned hereby constitutes and appoints each of Jinying (Jenny) Chen, Corporate Controller of Cepton, Inc., formerly known as Cepton Technologies, Inc. (the “Company”), so long as she is employed at the Company, Kimberly D. Grotenrath, of O’Melveny & Myers LLP (“OMM”), outside counsel to the Company, so long as she is employed by OMM, and Regina Braman, of OMM, outside counsel to the Company, so long as she is employed by OMM, as his true and lawful attorney-in-fact and agent (each, an “Attorney-In-Fact”), with full power of substitution and resubstitution for him and in his name and stead in any and all capacities, to sign and file for and on his behalf, in respect of any acquisition, disposition or other change in ownership of any of the securities of the undersigned, the following:

(i)

any Form ID to be filed with the Securities and Exchange Commission (the “SEC”);

(ii)

any Initial Statement of Beneficial Ownership of Securities on Form 3 to be filed with the SEC;

(iii)

any Statement of Changes of Beneficial Ownership of Securities on Form 4 to be filed with the SEC;

(iv)

any Annual Statement of Beneficial Ownership of Securities on Form 5 to be filed with the SEC;

(v)

any Notice of Proposed Sale of Securities on Form 144 to be filed with the SEC; and

(vi)

any and all agreements, certificates, receipts, or other documents in connection therewith.

The undersigned hereby gives full power and authority to each Attorney-In-Fact to seek and obtain as his representative and on his behalf, information on transactions in the securities of the undersigned from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such third party to release such information to each Attorney-In-Fact and approves and ratifies any such release of information.

The undersigned hereby grants unto each Attorney-In-Fact full power and authority to do and perform each and every act and thing requisite and necessary in connection with such matters and hereby ratifies and confirms all that any such Attorney-In-Fact or substitute may do or cause to be done by virtue hereof.

The undersigned acknowledges that:

(i)

neither the Company nor any Attorney-In-Fact assumes (i) any liability for the undersigned’s responsibility to comply with the requirement of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), (ii) any liability of the undersigned for any failure to comply with such requirements or (iii) any obligation or liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and

(ii)

this Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under the Exchange Act, including without limitation the reporting requirements under Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect with respect to the undersigned until revoked by the undersigned in a signed writing delivered to each Attorney-In-Fact.

[Remainder of Page Intentionally Left Blank.]

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 11^th day of October 2021.

	/s/ Liqun Han
	Liqun Han

[Signature Page - Power of Attorney]