Nant Capital, LLC - 30 Dec 2021 Form 3 Insider Report for Heliogen, Inc. (HLGN)

Role
10%+ Owner
Signature
/s/ Charles Kenworthy, Manager, Nant Capital LLC
Issuer symbol
HLGN
Transactions as of
30 Dec 2021
Net transactions value
$0
Form type
3
Filing time
05 Jul 2022, 16:45:12 UTC
Previous filing
30 Aug 2023
Next filing
27 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding HLGN securities beneficially owned 0 30 Dec 2021 Direct F1
holding HLGN securities beneficially owned 0 30 Dec 2021 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.