Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
AMENDMENT NO. 1 TO
SCHEDULE 13G
Under the Securities Exchange Act of 1934
CEPTON, INC.
(Name of Issuer)
Common Stock, par value $0.00001 per share
(Title of Class of Securities)
15673X 200
(CUSIP Number)
December 31, 2023
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| ☐ | Rule 13d-1(b) |
| ☐ | Rule 13d-1(c) |
| ☒ | Rule 13d-1(d) |
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 15673X 200 |
| 1. | Names of Reporting Persons Mark McCord | |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| (a) | ☐ | |
| (b) | ☐ | |
| 3. | SEC Use Only
| |
| 4. | Citizenship or Place of Organization United States | |
| Number
of Shares Beneficially Owned by Each Reporting Person With |
5. | Sole
Voting Power 1,436 shares of Common Stock |
| 6. | Shared
Voting Power 1,030,924 shares of Common Stock (1) | |
| 7. | Sole Dispositive Power 1,436 shares of Common Stock | |
| 8. | Shared Dispositive Power 1,030,924 shares of Common Stock (1) |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 1,032,360 |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ |
| 11. | Percent of Class Represented by Amount in Row (9) 6.5% (2) |
| 12. | Type of Reporting Person (See Instructions) IN |
| (1) | Includes 1,030,924 shares of Common Stock held by the McCord Trust, dated January 7, 2020, of which the Reporting Person is a trustee. |
| (2) | Based on 15,846,935 shares of Common Stock outstanding as of November 1, 2023, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 13, 2023. |
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Item 1.
| (a) | Name
of Issuer Cepton, Inc. (the “Issuer”) | |
| (b) | Address
of Issuer’s Principal Executive Offices San Jose, CA 95131 |
Item 2.
| (a) | Name
of Person Filing Mark McCord (the “Reporting Person”) | |
| (b) | Address
of Principal Business Office or, if none, Residence San Jose, CA 95131 | |
| (c) | Citizenship United States | |
| (d) | Title
of Class of Securities | |
| (e) | CUSIP Number 15673X 200 |
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable.
Item 4. Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) | Amount beneficially owned: The Reporting Person may be deemed to beneficially own an aggregate of 1,032,360 shares of Common Stock. Such aggregate share amount consists of: (i) 1,436 shares of Common Stock held directly by the Reporting Person; and (ii) 1,030,924 shares of Common Stock held by the McCord Trust, dated January 7, 2020, of which the Reporting Person is a trustee. | ||
| (b) | Percent of class: See Item 11 of the Cover page. | ||
| (c) | Number of shares as to which the person has: | ||
| (i) | Sole power to vote or to direct the vote See Item 5 of the Cover Page. | ||
| (ii) | Shared power to vote or to direct the vote See Item 6 of the Cover Page. | ||
| (iii) | Sole power to dispose or to direct the disposition of See Item 7 of the Cover Page. | ||
| (iv) | Shared power to dispose or to direct the disposition of | ||
| See Item 8 of the Cover Page. | |||
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Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
Not applicable.
Item 8. Identification and Classification of Members of the Group
Not applicable.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
Not applicable.
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Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| Dated: February 13, 2024 | /s/ Mark McCord |
| Mark McCord |
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