0001498233-24-000003.txt : 20240112 0001498233-24-000003.hdr.sgml : 20240112 20240112182817 ACCESSION NUMBER: 0001498233-24-000003 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240105 FILED AS OF DATE: 20240112 DATE AS OF CHANGE: 20240112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chang Dong CENTRAL INDEX KEY: 0002007366 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39959 FILM NUMBER: 24533141 MAIL ADDRESS: STREET 1: C/O CEPTON, INC. STREET 2: 399 WEST 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] ORGANIZATION NAME: 04 Manufacturing 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 wk-form3_1705102088.xml FORM 3 X0206 3 2024-01-05 0 0001498233 Cepton, Inc. CPTN 0002007366 Chang Dong C/O CEPTON, INC. 399 W. TRIMBLE ROAD SAN JOSE CA 95131 0 1 0 0 Interim CFO Common Stock 1300 D Common Stock 6769 D Common Stock 200 D Employee Stock Option (right to buy) 6.80 2029-07-09 Common Stock 19593 D Employee Stock Option (right to buy) 10.20 2030-02-25 Common Stock 4898 D Employee Stock Option (right to buy) 8.30 2030-08-19 Common Stock 2449 D Employee Stock Option (right to buy) 12.60 2030-12-23 Common Stock 4898 D Employee Stock Option (right to buy) 53.40 2031-03-14 Common Stock 7347 D Represents 1,300 time-based restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock, that vest in three equal installments on May 20, 2023, May 20, 2024 and May 20, 2025, subject to early termination and adjustments as provided in the applicable award agreement. Represents 6,769 time-based RSUs, each of which represents a contingent right to receive one share of the Issuer's common stock, that vest in three equal installments on February 20, 2024, February 20, 2025 and February 20, 2026, subject to early termination and adjustments as provided in the applicable award agreement. 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 January 31, 2021. The remaining 75% of the total number of shares of Common Stock subject to the stock options vest thereafter in 36 substantially equal monthly instalments. The stock options vested as to 25% of the total number of shares of Common Stock subject to the stock options on August 20, 2021. The remaining 75% of the total number of shares of Common Stock subject to the stock options vest thereafter in 36 substantially equal monthly instalments. The stock options vested as to 25% of the total number of shares of Common Stock subject to the stock options on November 23, 2021. The remaining 75% of the total number of shares of Common Stock subject to the stock options vest thereafter in 36 substantially equal monthly instalments. The stock options vested as to 25% of the total number of shares of Common Stock subject to the stock options on March 2, 2022. The remaining 75% of the total number of shares of Common Stock subject to the stock options vest thereafter in 36 substantially equal monthly instalments. /s/ Dong Chang 2024-01-12