0001214659-23-008463.txt : 20230613
0001214659-23-008463.hdr.sgml : 20230613
20230613170124
ACCESSION NUMBER: 0001214659-23-008463
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230609
FILED AS OF DATE: 20230613
DATE AS OF CHANGE: 20230613
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GROSS WILLIAM
CENTRAL INDEX KEY: 0001079818
STATE OF INCORPORATION: CA
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40209
FILM NUMBER: 231012021
MAIL ADDRESS:
STREET 1: C/O BILL GROSS' IDEALAB
STREET 2: 130 W UNION STREET
CITY: PASADENA
STATE: CA
ZIP: 91103
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Heliogen, Inc.
CENTRAL INDEX KEY: 0001840292
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911]
IRS NUMBER: 854204953
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 130 W UNION ST.
CITY: PASADENA
STATE: CA
ZIP: 91103
BUSINESS PHONE: 9709240446
MAIL ADDRESS:
STREET 1: 130 W UNION ST.
CITY: PASADENA
STATE: CA
ZIP: 91103
FORMER COMPANY:
FORMER CONFORMED NAME: Athena Technology Acquisition Corp.
DATE OF NAME CHANGE: 20210112
4
1
marketforms-61820.xml
PRIMARY DOCUMENT
X0407
4
2023-06-09
0001840292
Heliogen, Inc.
HLGN
0001079818
GROSS WILLIAM
C/O IDEALAB
130 WEST UNION STREET
PASADENA
CA
91103
false
false
true
false
0
Common Stock
2023-06-09
4
M
false
474513
0.09
A
3147125
D
Common Stock
2023-06-09
4
S
false
474513
0.23
D
2672612
D
Common Stock
414363
I
See footnote
Common Stock
16175
I
See footnote
Common Stock
15480443
I
See footnote
Employee Stock Option (right to buy)
0.09
2023-06-09
4
M
false
474513
0
D
2023-07-05
Common Stock
0
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.23 to $0.24, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4
These shares are held by The Gross Goodstein Living Trust (the "Trust") of which Mr. Gross is a co-trustee. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
These shares are held by Idealab Studio, LLC ("Idealab Studio"), for which Mr. Gross serves as chairman and chief executive officer. The Trust owns a majority of the class of securities of Idealab Studio entitled to elect two managers to Idealab Studio's board of managers. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
These shares are held by Idealab Holdings, LLC ("Idealab Holdings"), which is a wholly owned subsidiary of Idealab, a California corporation ("Idealab"). Idealab is managed by a board of directors (the "Idealab Board") including Mr. Gross. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023.
The options were exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price.
/s/ William Gross
2023-06-13