0001127602-23-010732.txt : 20230317 0001127602-23-010732.hdr.sgml : 20230317 20230317173520 ACCESSION NUMBER: 0001127602-23-010732 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230315 FILED AS OF DATE: 20230317 DATE AS OF CHANGE: 20230317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Doyle Thomas P. CENTRAL INDEX KEY: 0001903755 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40209 FILM NUMBER: 23744029 MAIL ADDRESS: STREET 1: 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2023-03-15 0001840292 Heliogen, Inc. HLGN 0001903755 Doyle Thomas P. C/O HELIOGEN, INC. 130 WEST UNION ST PASADENA CA 91103 1 Chief Commercial Officer Common Stock 2023-03-15 4 S 0 39461 .2081 D 463860 D Common Stock 2023-03-16 4 S 0 10375 .2024 D 453485 D The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Since the date of the reporting person's last ownership report, he transferred stock options to purchase 131,647 shares of HLGN common stock to his ex-spouse pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse. /s/ Alexander Gefter, Attorney in Fact 2023-03-17 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): POA POWER OF ATTORNEY (For Executing Form ID and Forms 3, 4 and 5) Know all by these presents, that the undersigned hereby constitutes and appoints each of Christiana Obiaya, Kelly Rosser and Deborah Chen of Heliogen, Inc. (the ?Company?) and Alexander Gefter, Su Lian Lu and Chu Lee of Cooley LLP, signing individually, the undersigned?s true and lawful attorneys-in-fact and agents to: (1) Prepare, execute in the undersigned?s name and on the undersigned?s behalf, and submit to the Securities and Exchange Commission (the ?SEC?), a Form ID and Forms 3, 4 and 5 (including amendments thereto and joint filing agreements in connection therewith) in accordance with Section 16 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?), and the rules thereunder, in the undersigned?s capacity as an officer, director or beneficial owner of more than 10% of a registered class of securities of the Company; (2) Do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to prepare and execute any such Form ID and Forms 3, 4 or 5 (including amendments thereto and joint filing agreements in connection therewith) and file such forms with the SEC and any stock exchange, self-regulatory association or any similar authority; and (3) Take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required of the undersigned, it being understood that the documents executed by the attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as the attorney-in-fact may approve in the attorney-in-fact?s discretion. The undersigned hereby grants to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney in fact, or such attorney in fact?s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, and their substitutes, in serving in such capacity at the request of the undersigned, are not assuming (nor is the Company assuming) any of the undersigned?s responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned?s holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the Company and the foregoing attorneys-in fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact is no longer employed by the Company or employed by or a partner at Cooley LLP or another law firm representing the Company, as applicable. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of the date written below. /s/ Thomas P Doyle 3/17/23