| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | CPTN | Common Stock | 100K | Sep 18, 2023 | Direct | F1 | |||||
| holding | CPTN | Common Stock | 172K | Sep 18, 2023 | Direct | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | CPTN | Employee Stock Option (right to buy) | Sep 18, 2023 | Common Stock | 9.19K | $0.97 | Direct | F3 | ||||||
| holding | CPTN | Employee Stock Option (right to buy) | Sep 18, 2023 | Common Stock | 39.3K | $1.02 | Direct | F4 | ||||||
| holding | CPTN | Performance Stock Units | Sep 18, 2023 | Common Stock | 67K | Direct | F5 | |||||||
| holding | CPTN | Employee Stock Option (right to buy) | Sep 18, 2023 | Common Stock | 61.2K | $1.26 | Direct | F6 | ||||||
| holding | CPTN | Employee Stock Option (right to buy) | Sep 18, 2023 | Common Stock | 245K | $1.26 | Direct | F7 | ||||||
| holding | CPTN | Employee Stock Option (right to buy) | Sep 18, 2023 | Common Stock | 511 | $0.68 | Direct | F8 |
| Id | Content |
|---|---|
| F1 | Represents 100,000 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 on May 20, 2024, subject to early termination and adjustments as provided in the applicable award agreement. |
| F2 | Represents 172,308 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, in each case subject to early termination and adjustment as provided in the applicable award agreement. |
| F3 | 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. |
| F4 | 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 installments. |
| F5 | The Issuer awarded the Reporting Person 67,000 performance-based stock units ("PSUs"), each of which represents a contingent right to receive one share of the Issuer's Common Stock. The award will vest as to 36,000 of the PSUs if, at the close of regular trading for 20 trading days out of any period of 30 consecutive trading days, either (i) the Issuer's closing stock price exceeds $15.00 per share or (ii) the Issuer's market capitalization exceeds $2.1 billion; and will vest as to the remaining 31,000 PSUs if, at the close of regular trading for 20 trading days out of any period of 30 consecutive trading days, either (i) the Issuer's closing stock price exceeds $17.50 per share or (ii) the Issuer's market capitalization exceeds $2.5 billion, expiring on February 10, 2025 for each applicable tranche, and provided further that the vesting of each tranche is subject to the Reporting Person's continued employment with the Issuer through the day on which the applicable goal is achieved. |
| F6 | 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 installments. |
| F7 | The stock options vest monthly, starting on March 8, 2021, in 48 substantially equal monthly installments. |
| F8 | The stock options are fully vested and exercisable. |
Exhibit List: Exhibit 24 - Power of Attorney