SOON-SHIONG PATRICK 4
4 · Heliogen, Inc. · Filed Jun 26, 2023
Insider Transaction Report
Form 4
Heliogen, Inc.HLGN
Nant Capital, LLC
10% Owner
Transactions
- Purchase
Common Stock
2023-06-22$0.23/sh+634,251$146,068→ 32,862,027 total
Holdings
- 2,345,714
Common Stock
Footnotes (3)
- [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.