Statement of Changes in Beneficial Ownership (4)
13 June 2023 - 8:36AM
Edgar (US Regulatory)
FORM 4
☐
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Sloss Dakin |
2. Issuer Name and Ticker or Trading Symbol
Heliogen, Inc.
[
HLGN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
P.O. BOX 12829 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/8/2023 |
(Street)
JACKSON, WY 83002 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 6/8/2023 | | S | | 3593083 | D | $0.2206 (5) | 13677320 | I | Held by Prime Movers Lab Fund I LP (1)(4) |
Common Stock | 6/8/2023 | | S | | 6917 | D | $0.2206 (5) | 0 | I | Held by Prime Movers Lab Fund II LP (2)(4) |
Common Stock | | | | | | | | 6668457 | I | Held by Heliogen PML SPV 1 LP (3)(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Held by Prime Movers Lab Fund I LP ("PML"). Prime Movers Lab GP I LLC ("PML GP") is the general partner of PML. |
(2) | Held by Prime Movers Lab Fund II LP ("PML Fund II"). Prime Movers Lab GP II LLC ("PML GP II") is the general partner of PML Fund II. |
(3) | Held by Heliogen PML SPV 1 LP ("Heliogen PML"). PML GP II is the general partner of Heliogen PML. |
(4) | Dakin Sloss is the manager of PML GP and PML GP II and as a result may be deemed to have or share beneficial ownership the securities held by PML, PML Fund II and Heliogen PML. Mr. Sloss disclaims any beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein. |
(5) | The price of $0.2206 per share represents a weighted average of purchase prices ranging from $0.2134 to $0.2330 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sloss Dakin P.O. BOX 12829 JACKSON, WY 83002 |
| X |
|
|
Prime Movers Lab Fund I LP P.O. BOX 12829 JACKSON, WY 83002 |
| X |
|
|
Heliogen PML SPV 1 LP P.O. BOX 12829 JACKSON, WY 83002 |
| X |
|
|
Prime Movers Lab GP I LLC P.O. BOX 12829 JACKSON, WY 83002 |
| X |
|
|
Prime Movers Lab GP II LLC P.O. BOX 12829 JACKSON, WY 83002 |
| X |
|
|
Prime Movers Lab Fund II LP P.O. BOX 12829 JACKSON, WY 83002 |
| X |
|
|
Signatures
|
/s/ Taylor Frankel, Authorized Person on behalf of the General Partner of each Reporting Person | | 6/12/2023 |
**Signature of Reporting Person | Date |
Dakin Sloss /s/ Taylor Frankel, Attorney-in-fact | | 6/12/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Athena Technology Acquis... (NYSE:ATHN)
Historical Stock Chart
From Jun 2024 to Jul 2024
Athena Technology Acquis... (NYSE:ATHN)
Historical Stock Chart
From Jul 2023 to Jul 2024
Real-Time news about Athena Technology Acquisition Corp (New York Stock Exchange): 0 recent articles
More Heliogen, Inc. News Articles