0000899243-23-015652.txt : 20230615 0000899243-23-015652.hdr.sgml : 20230615 20230615193103 ACCESSION NUMBER: 0000899243-23-015652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230613 FILED AS OF DATE: 20230615 DATE AS OF CHANGE: 20230615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOON-SHIONG PATRICK CENTRAL INDEX KEY: 0001189020 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40209 FILM NUMBER: 231019033 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 FORMER NAME: FORMER CONFORMED NAME: SOON SHIONG PATRICK DATE OF NAME CHANGE: 20020912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CALIFORNIA CAPITAL EQUITY, LLC CENTRAL INDEX KEY: 0001517764 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40209 FILM NUMBER: 231019034 BUSINESS ADDRESS: STREET 1: 10182 CULVER BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 10182 CULVER BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nant Capital, LLC CENTRAL INDEX KEY: 0001675758 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40209 FILM NUMBER: 231019035 BUSINESS ADDRESS: BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 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 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-06-13 0 0001840292 Heliogen, Inc. HLGN 0001675758 Nant Capital, LLC 450 DULEY ROAD EL SEGUNDO CA 90245 0 0 1 0 0001517764 CALIFORNIA CAPITAL EQUITY, LLC C/O NANT CAPITAL LLC 9922 JEFFERSON BOULEVARD CULVER CITY CA 90230 0 0 1 0 0001189020 SOON-SHIONG PATRICK C/O NANT CAPITAL LLC 9922 JEFFERSON BOULEVARD CULVER CITY CA 90232 0 0 1 0 0 Common Stock 2023-06-13 4 P 0 1058542 0.199 A 31193753 D Common Stock 2023-06-14 4 P 0 279752 0.21 A 31473505 D Common Stock 2023-06-15 4 P 0 387612 0.2096 A 31861117 D Common Stock 2345714 D This transaction was executed in multiple trades at prices ranging from $0.1912 to $0.2000. 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. 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. This transaction was executed in multiple trades at prices ranging from $0.2090 to $0.2100. 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. This transaction was executed in multiple trades at prices ranging from $0.2085 to $0.2100. 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. 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. /s/ Charles Kenworthy, Manager, Nant Capital LLC 2023-06-15 /s/ Charles Kenworthy, Manager, California Capital LLC 2023-06-15 /s/ Patrick Soon-Shiong 2023-06-15