Nant Capital, LLC - Jun 22, 2023 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
Jun 22, 2023
Transactions value $
$146,068
Form type
4
Date filed
6/26/2023, 09:51 PM
Previous filing
Jun 21, 2023
Next filing
Sep 6, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLGN Common Stock Purchase $146K +634K +1.97% $0.23 32.9M Jun 22, 2023 Direct F1, F2
holding HLGN Common Stock 2.35M Jun 22, 2023 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $0.23 to $0.24. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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.