0001213900-22-007122.txt : 20220211 0001213900-22-007122.hdr.sgml : 20220211 20220211175950 ACCESSION NUMBER: 0001213900-22-007122 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220210 FILED AS OF DATE: 20220211 DATE AS OF CHANGE: 20220211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chen Jinying CENTRAL INDEX KEY: 0001888632 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39959 FILM NUMBER: 22623292 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 0001888632 Chen Jinying C/O CEPTON, INC. 399 W. TRIMBLE RD SAN JOSE CA 95131 0 1 0 0 Corporate Controller Employee Stock Option (right to buy) 0.97 2029-11-19 Common Stock 171446 D Employee Stock Option (right to buy) 0.83 2030-07-14 Common Stock 73476 D Employee Stock Option (right to buy) 1.26 2030-12-23 Common Stock 48984 D Employee Stock Option (right to buy) 5.34 2031-03-14 Common Stock 73477 D The stock options vested as to 25% of the total number of shares of Common Stock subject to the stock options on November 4, 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. 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 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 stock options vested as to 25% of the total number of shares of Common Stock subject to the stock options on May 15, 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. 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. The stock options will vest 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 installments. /s/ Jinying (Jenny) Chen 2022-02-11