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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1840292	Heliogen Inc.	HLGN	Electric Services (4911)	854204953

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1941943	Alan Andrew Lambert	C/O Heliogen, Inc. 130 West Union St Pasadena CA 91103	Chf. Mfg. & Sply. Chain Ofc.	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2022-12-20	48,000	$0.61	737,311	No	4	P	Direct
Common Stock	Acquisiton	2022-12-20	33,555	$0.30	770,866	No	4	M	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	M	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2022-12-20	33,555	$0.00	33,555	$0.30

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
226,494		2031-03-29	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	96	Indirect	As custodian for UTMA account

Footnotes

Includes 503,321 shares represented by restricted stock units ("RSUs") initially granted under the Issuer's 2013 Stock Incentive Plan. 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 initially granted vest in quarterly installments with the first installment vested on March 15, 2022, subject to the Reporting Person's continuous service.
The shares are held in a custodial account established for an immediate family member of the Reporting Person pursuant to the Uniform Transfers to Minors Act for which the Reporting Person serves as a custodian. The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
The option for 402,656 underlying shares was granted on March 30, 2021 under Issuer's 2013 Stock Incentive Plan, with 25% vesting on March 15, 2022 and the remainder vesting in 36 substantially equal monthly installments from March 15, 2022, subject to the Reporting Person's continuous service.