Nant Capital, LLC - Dec 30, 2021 Form 4 Insider Report for Heliogen, Inc. (HLGN)

Role
10%+ Owner
Signature
/s/ Charles Kenworthy, Manager, Nant Capital LLC
Stock symbol
HLGN
Transactions as of
Dec 30, 2021
Transactions value $
$0
Form type
4
Date filed
7/5/2022, 04:47 PM
Previous filing
Aug 30, 2023
Next filing
Mar 27, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLGN Common Stock Award $0 +24.6M $0.00 24.6M Dec 30, 2021 Direct F1, F2
transaction HLGN Common Stock Award $0 +1.01M $0.00 1.01M Dec 30, 2021 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Received on December 30, 2021 pursuant to that certain Business Combination 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 Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares.
F2 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.
F3 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.