4//SEC Filing
GROSS WILLIAM 4
Accession 0001214659-23-008342
CIK 0001840292other
Filed
Jun 6, 8:00 PM ET
Accepted
Jun 7, 4:30 PM ET
Size
18.0 KB
Accession
0001214659-23-008342
Insider Transaction Report
Form 4
Heliogen, Inc.HLGN
GROSS WILLIAM
DirectorChief Executive Officer
Transactions
- Exercise/Conversion
Common Stock
2023-06-05$0.09/sh+91,463$8,232→ 2,764,075 total - Exercise/Conversion
Employee Stock Option (right to buy)
2023-06-05−91,463→ 2,448,537 totalExercise: $0.09Exp: 2023-07-05→ Common Stock (91,463 underlying) - Sale
Common Stock
2023-06-05$0.25/sh−91,463$22,866→ 2,672,612 total - Exercise/Conversion
Common Stock
2023-06-06$0.09/sh+210,239$18,922→ 2,882,851 total - Sale
Common Stock
2023-06-06$0.24/sh−210,239$50,457→ 2,672,612 total - Exercise/Conversion
Employee Stock Option (right to buy)
2023-06-06−210,239→ 2,238,298 totalExercise: $0.09Exp: 2023-07-05→ Common Stock (210,239 underlying)
Holdings
- 414,363(indirect: See footnote)
Common Stock
- 16,175(indirect: See footnote)
Common Stock
- 15,480,443(indirect: See footnote)
Common Stock
Footnotes (6)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.24 to $0.26, 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
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.
Documents
Issuer
Heliogen, Inc.
CIK 0001840292
Entity typeother
IncorporatedCA
Related Parties
1- filerCIK 0001079818
Filing Metadata
- Form type
- 4
- Filed
- Jun 6, 8:00 PM ET
- Accepted
- Jun 7, 4:30 PM ET
- Size
- 18.0 KB