Dong Chang - Jan 5, 2024 Form 3 Insider Report for Cepton, Inc. (CPTN)

Role
Interim CFO
Signature
/s/ Dong Chang
Stock symbol
CPTN
Transactions as of
Jan 5, 2024
Transactions value $
$0
Form type
3
Date filed
1/12/2024, 06:28 PM
Next filing
May 14, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CPTN Common Stock 1.3K Jan 5, 2024 Direct F1
holding CPTN Common Stock 6.77K Jan 5, 2024 Direct F2
holding CPTN Common Stock 200 Jan 5, 2024 Direct

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
holding CPTN Employee Stock Option (right to buy) Jan 5, 2024 Common Stock 19.6K $6.80 Direct F3
holding CPTN Employee Stock Option (right to buy) Jan 5, 2024 Common Stock 4.9K $10.20 Direct F4
holding CPTN Employee Stock Option (right to buy) Jan 5, 2024 Common Stock 2.45K $8.30 Direct F5
holding CPTN Employee Stock Option (right to buy) Jan 5, 2024 Common Stock 4.9K $12.60 Direct F6
holding CPTN Employee Stock Option (right to buy) Jan 5, 2024 Common Stock 7.35K $53.40 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 The stock options are fully vested and exercisable.
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 instalments.
F5 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.
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 instalments.
F7 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.