0000899243-23-015295.txt : 20230609
0000899243-23-015295.hdr.sgml : 20230609
20230609194529
ACCESSION NUMBER: 0000899243-23-015295
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230607
FILED AS OF DATE: 20230609
DATE AS OF CHANGE: 20230609
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SOON-SHIONG PATRICK
CENTRAL INDEX KEY: 0001189020
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40209
FILM NUMBER: 231006804
MAIL ADDRESS:
STREET 1: 9922 JEFFERSON BOULEVARD
CITY: CULVER CITY
STATE: CA
ZIP: 90232
FORMER NAME:
FORMER CONFORMED NAME: SOON SHIONG PATRICK
DATE OF NAME CHANGE: 20020912
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CALIFORNIA CAPITAL EQUITY, LLC
CENTRAL INDEX KEY: 0001517764
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40209
FILM NUMBER: 231006805
BUSINESS ADDRESS:
STREET 1: 10182 CULVER BOULEVARD
CITY: CULVER CITY
STATE: CA
ZIP: 90232
BUSINESS PHONE: 310-836-6400
MAIL ADDRESS:
STREET 1: 10182 CULVER BOULEVARD
CITY: CULVER CITY
STATE: CA
ZIP: 90232
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nant Capital, LLC
CENTRAL INDEX KEY: 0001675758
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40209
FILM NUMBER: 231006806
BUSINESS ADDRESS:
BUSINESS PHONE: 310-836-6400
MAIL ADDRESS:
STREET 1: 9922 JEFFERSON BOULEVARD
CITY: CULVER CITY
STATE: CA
ZIP: 90232
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
doc4.xml
FORM 4 SUBMISSION
X0407
4
2023-06-07
0
0001840292
Heliogen, Inc.
HLGN
0001675758
Nant Capital, LLC
450 DULEY ROAD
EL SEGUNDO
CA
90245
0
0
1
0
0001517764
CALIFORNIA CAPITAL EQUITY, LLC
C/O NANT CAPITAL LLC
9922 JEFFERSON BOULEVARD
CULVER CITY
CA
90230
0
0
1
0
0001189020
SOON-SHIONG PATRICK
C/O NANT CAPITAL LLC
9922 JEFFERSON BOULEVARD
CULVER CITY
CA
90232
0
0
1
0
0
Common Stock
2023-06-07
4
P
0
1000000
0.2452
A
27400113
D
Common Stock
2023-06-08
4
P
0
1966263
0.2188
A
29366376
D
Common Stock
2023-06-09
4
P
0
768835
0.2299
A
30135211
D
Common Stock
2345714
D
This transaction was executed in multiple trades at prices ranging from $0.2437 to $0.2485. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital.
This transaction was executed in multiple trades at prices ranging from $0.214 to $0.23. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
This transaction was executed in multiple trades at prices ranging from $0.2298 to $0.23. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital for purposes of Section 13(d) of the Exchange Act.
/s/ Charles Kenworthy, Manager, Nant Capital LLC
2023-06-09
/s/ Charles Kenworthy, Manager, California Capital LLC
2023-06-09
/s/ Patrick Soon-Shiong
2023-06-09