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Filing Details

Accession Number:: 0001214659-23-007602
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-05-19 18:22:48
Reporting Period:: 2023-05-17

Accepted Time:: 2023-05-19 18:22:48
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1840292	Heliogen Inc.	HLGN	()	CA

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1079818	William Gross	C/O Idealab 130 West Union Street Pasadena CA 91103		No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2023-05-17	153,069	$0.09	2,825,681	No	4	M	Direct
Common Stock	Disposition	2023-05-17	153,069	$0.29	2,672,612	No	4	S	Direct
Common Stock	Acquisiton	2023-05-18	340	$0.09	2,672,952	No	4	M	Direct
Common Stock	Disposition	2023-05-18	340	$0.28	2,672,612	No	4	S	Direct

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2023-05-17	153,069	$0.00	153,069	$0.09
Common Stock	Employee Stock Option (right to buy)	Disposition	2023-05-18	340	$0.00	340	$0.09

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,056,641		2023-07-05	No	4	M	Direct
3,056,301		2023-07-05	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	414,363	Indirect	See footnote
Common Stock	16,175	Indirect	See footnote
Common Stock	15,480,443	Indirect	See footnote

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.28 to $0.29, 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 are 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.