0001214659-23-005429.txt : 20230414 0001214659-23-005429.hdr.sgml : 20230414 20230414165230 ACCESSION NUMBER: 0001214659-23-005429 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230213 FILED AS OF DATE: 20230414 DATE AS OF CHANGE: 20230414 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GROSS WILLIAM CENTRAL INDEX KEY: 0001079818 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40209 FILM NUMBER: 23821828 MAIL ADDRESS: STREET 1: C/O BILL GROSS' IDEALAB STREET 2: 130 W UNION STREET CITY: PASADENA STATE: CA ZIP: 91103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Heliogen, Inc. CENTRAL INDEX KEY: 0001840292 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 854204953 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 130 W UNION ST. CITY: PASADENA STATE: CA ZIP: 91103 BUSINESS PHONE: 9709240446 MAIL ADDRESS: STREET 1: 130 W UNION ST. CITY: PASADENA STATE: CA ZIP: 91103 FORMER COMPANY: FORMER CONFORMED NAME: Athena Technology Acquisition Corp. DATE OF NAME CHANGE: 20210112 3 1 marketforms-61210.xml PRIMARY DOCUMENT X0206 3 2023-02-13 0 0001840292 Heliogen, Inc. HLGN 0001079818 GROSS WILLIAM C/O IDEALAB 130 WEST UNION STREET PASADENA CA 91103 true false false false Common Stock 1672612 D Common Stock 414363 I See footnote Common Stock 16175 I See footnote Common Stock 15480443 I See footnote Employee Stock Option (right to buy) 9.00 2023-07-05 Common Stock 2738864 D Employee Stock Option (right to buy) 0.18 2023-07-05 Common Stock 2621465 D Employee Stock Option (right to buy) 0.09 2023-07-05 Common Stock 4209710 D 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. 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. 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. On February 13, 2023, the Idealab Board revoked its delegation to one of the members of the Idealab Board, other than Mr. Gross, of Idealab's power to manage and control the business and affairs of Idealab Holdings related to these shares, including all voting and dispositive power with respect to these shares. 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. The options vested and became exercisable in equal monthly installments commencing December 30, 2021, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. 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. The options vested and became exercisable in equal monthly installments commencing December 21, 2020, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. 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. /s/ William Gross 2023-04-14