Pei Jun's Form 4 filing

Cepton, Inc. (CPTN) · filed Nov 14, 2022

Accession no.: 0001213900-22-071521
Filed: Nov 14, 2022
Trade date: Nov 10-11, 2022
Filing delay: 4 days
Rule 10b5-1 plan: Not on the form (before 2023)

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions. Open-market sales total $279.6K. It was filed 4 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
Owner	Relationship to the company
Pei JunCIK 0001888574	Director, Officer (CEO and President), 10% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Nov 10, 2022	Common Stock	SSaleDisposed	−100,000	$1.78^F1	−$178,000	28,850,306	Indirect
Nov 11, 2022	Common Stock	SSaleDisposed	−55,202	$1.84^F3	−$101,571.68	28,795,104	Indirect

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

The Reporting Person disposed 100,000 shares of Common Stock in multiple trades at prices ranging from $1.76 to $1.87, per share. The price reported in Column 4 above reflects the weighted average sale price for the transaction, rounded to the nearest cent. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Referenced by the price of 1 transaction in Table I.

The Reporting Person disposed 55,202 shares of Common Stock in multiple trades at prices ranging from $1.80 to $1.89, per share. The price reported in Column 4 above reflects the weighted average sale price for the transaction, rounded to the nearest cent. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Referenced by the price of 1 transaction in Table I.

Remarks

Exhibit List: Exhibit 24 - Power of Attorney

Read the full filing on SEC EDGAR (opens in a new tab)