0001209191-22-002615.txt : 20220107 0001209191-22-002615.hdr.sgml : 20220107 20220107213648 ACCESSION NUMBER: 0001209191-22-002615 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211230 FILED AS OF DATE: 20220107 DATE AS OF CHANGE: 20220107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schell Steven CENTRAL INDEX KEY: 0001901852 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-40209 FILM NUMBER: 22519468 MAIL ADDRESS: STREET 1: 130 W UNION ST. 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: 123 TOWNPARK DRIVE, SUITE 300 CITY: KENNESAW STATE: GA ZIP: 30144 BUSINESS PHONE: 9709240446 MAIL ADDRESS: STREET 1: 123 TOWNPARK DRIVE, SUITE 300 CITY: KENNESAW STATE: GA ZIP: 30144 FORMER COMPANY: FORMER CONFORMED NAME: Athena Technology Acquisition Corp. DATE OF NAME CHANGE: 20210112 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2021-12-30 2022-01-05 0 0001840292 Heliogen, Inc. HLGN 0001901852 Schell Steven C/O HELIOGEN, INC. 130 W UNION STREET PASADENA CA 91103 0 1 0 0 Chief Technology Officer Common Stock 2021-12-30 4 A 0 150996 0.00 A 150996 D Employee Stock Option (right to buy) 0.18 2021-12-30 4 A 0 1509964 0.00 A 2030-07-21 Common Stock 1509964 1509964 D Employee Stock Option (right to buy) 0.09 2021-12-30 4 A 0 1006643 0.00 A 2029-02-05 Common Stock 1006643 1006643 D Employee Stock Option (right to buy) 0.09 2021-12-30 4 A 0 201328 0.00 A 2028-12-05 Common Stock 201328 201328 D These shares are represented by restricted stock units ("RSUs") issued by Heliogen, Inc., a Delaware corporation ("Legacy Heliogen") and assumed by the Issuer on December 30, 2021 pursuant to that certain Business Combination Agreement ("Merger Agreement"), dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub, Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Legacy Heliogen. Each RSU represents a contingent right to receive one share of the Common Stock of the Issuer. Six and one-quarter percent (6.25%) of the shares underlying the RSUs vest in quarterly installments with the first installment vesting on March 15, 2022, subject to the Reporting Person's continuous service. The shares shall vest in 48 equal monthly installments commencing on July 22, 2020, subject to the Reporting Person's continuous service. Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. One quarter (25%) of the shares vested on February 6, 2020, and the remainder of the shares shall vest in 36 equal monthly installments, subject to the Reporting Person's continuous service. The shares shall vest in 48 equal monthly installments commencing on December 6, 2018, subject to the Reporting Person's continuous service. The original Form 4, filed on January 5, 2022, is being amended by this Form 4/A to correct the previously reported exercise price of the stock options. The number of shares underlying the stock options previously reported correctly accounted for the Exchange Ratio (as defined in the Merger Agreement). The exercise price for the stock options has now also been adjusted to reflect the Exchange Ratio. /s/ Dorothy Vinsky, Attorney-in-Fact 2022-01-07