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