EX-FILING FEES 5 ea181102ex-fee_heliogen.htm FILING FEE TABLE

Exhibit 107

 

Calculation of Filing Fee Tables

 

Form S-3

(Form Type)

 

Heliogen, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

Table 1: Newly Registered and Carry Forward Securities

 

   Security
Type
  Security
Class
Title
  Fee Calculation or Carry
Forward Rule
   Amount Registered  Proposed Maximum Offering Price Per Unit  Maximum Aggregate Offering
Price
  Fee Rate   Amount of Registration Fee  Carry Forward Form Type   Carry Forward File Number   Carry Forward Initial effective date   Filing Fee Previously Paid In Connection with
Unsold Securities
to
be Carried Forward
 
Newly Registered Securities 
                                                         
Fees to Be
Paid
  Primary Offerings                                                     
   Debt  Debt
Securities(1)
        (2)   (3)   (3)                        
   Equity  Preferred
Stock, par
value
$0.0001
per share(1)
        (2)   (3)   (3)                              
   Equity  Common
Stock, par
value $0.0001
per
share(1)(8)
        (2)   (3)   (3)                              
   Equity  Rights(1)        (2)   (3)   (3)                              
   Equity  Units(1)        (2)   (3)   (3)                              
   Other  Warrants(1)        (2)   (3)   (3)                              
   Unallocated
(Universal)
Shelf
      457(o)   (2)   (3)  $150,000,000   $0.00011020   $16,530(4)                    
   Secondary Offerings                                                     
   Equity  Common
Stock, par
value $0.0001
per
share(5)(8)
   457(c)   6,668,457    $ 0.25(6)  $1,667,114.25   $0.00011020   $183.72                     
   Equity  Common
Stock, par
value $0.0001
per
share(5)(8)
   457(c)   163,333    $ 0.28(6)  $45,733.24   $0.00011020   $5.04                     
   Equity  Common
Stock, par
value $0.0001
per
share(5)(8)
   457(c)   114,411    $ 0.25(6)  $28,602.75   $0.00011020   $3.15                     
                                                         
Fees
Previously
Paid
                                                        

Carry Forward Securities

Carry
Forward
Securities
                                                        
   Total Offering Amounts        $151,741,448.44   $0.00011020   $16,721.91                     
   Total Fees Previously Paid                  $16,718.76                     
   Total Fee Offsets                   N/A                     
   Net Fee Due                  $3.15                     

 

 

 

 

Table 3: Combined Prospectuses

 

Security Type  Security Class Title  Amount of
Securities Previously
Registered
   Maximum
Aggregate
Offering
Price of
Securities
Previously
Registered
   Form Type  File Number  Initial
Effective
Date
Equity  Common Stock, par value $0.0001 per share(7)(8)   8,566,666   $31,696,665   S-1  333-262319  January 24, 2022
Equity  Common Stock, par value $0.0001 per share(7)(8)   124,749,204   $461,572,055   S-1  333-262319  January 24, 2022
Equity  Warrants(7)   233,333    (9)  S-1  333-262319  January 24, 2022

 

(1)Separate consideration may or may not be received for securities that are issuable upon the conversion or exercise of, or in exchange for, other securities offered hereby.

 

(2) There are being registered hereunder such indeterminate number of shares of common stock and preferred stock, such indeterminate number of rights and units, such indeterminate principal amount of debt securities and such indeterminate number of warrants to purchase common stock, preferred stock, rights, units and/or debt securities to be sold by the Registrant from time to time at unspecified prices which shall have an aggregate initial offering price not to exceed $150,000,000. If any debt securities are issued at an original issue discount, then the principal amount of such debt securities shall be in such greater amount as shall result in an aggregate initial offering price not to exceed $150,000,000, less the aggregate dollar amount of all securities previously issued hereunder. The securities registered for sale also include such indeterminate number of shares of common stock and preferred stock and amount of debt securities as may be issued upon conversion of or exchange for preferred stock or debt securities that provide for conversion or exchange, upon exercise of warrants or rights or pursuant to the antidilution provisions of any such securities. In addition, pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), the shares being registered hereunder include such indeterminate number of shares of common stock and preferred stock as may be issuable with respect to the shares being registered hereunder as a result of stock splits, stock dividends or similar transactions.

 

(3) The proposed maximum offering price per share will be determined, from time to time, by the Registrant in connection with the issuance by the Registrant of the securities registered hereunder and is not specified as to each class of security pursuant to Instruction 2.A.iii.b. to the Calculation of Filing Fee Tables and Related Disclosure on Item 16(b) of Form S-3 under the Securities Act.

 

(4)

The proposed maximum aggregate offering price has been calculated pursuant to Rule 457(o) under the Securities Act.

 

(5) Consists of a total of 6,946,201 additional shares of common stock (including 163,333 shares of common stock issuable upon the exercise of the Private Warrants) registered for resale by the selling securityholders named in this registration statement comprised of (a) 6,668,457 shares, the filing fee for which were previously paid with the initial filing of this Registration Statement, (b) 163,333 shares of common stock, the filing fee for which has been paid in connection with the filing of Amendment No. 1 to this registration statement and (c) 114,411 shares of common stock, the filing fee for which has been paid in connection with the filing of Amendment No. 3 to this registration statement.

 

(6) Pursuant to Rule 457(c) under the Securities Act, and solely for the purpose of calculating the registration fee, the proposed maximum offering price per share for (a) the 6,831,790 shares, the filing fee for which was previously paid with the initial filing of this registration statement on April 6, 2023, is $0.25, which was the average of the high and low prices of the shares of common stock on April 5, 2023 on the New York Stock Exchange, (b) the 163,333 shares, the filing fee for which has been paid in connection with the filing of Amendment No. 1 to this registration statement, is $0.28, which was the average of the high and low prices of the shares of common stock on May 8, 2023 on the New York Stock Exchange and (c) the 114,411 shares, the filing fee for which has been paid in connection with the filing of Amendment No. 3 to this registration statement, is $0.25, which was the average of the high and low prices of the shares of common stock on June 28, 2023 on the New York Stock Exchange.

 

(7)

No registration fee is payable in connection with the 133,315,870 shares of common stock (including common stock underlying warrants) and 233,333 warrants that were previously registered under the registration statement on Form S-1 (No. 333-262319), initially filed by Heliogen, Inc. on January 24, 2022, and declared effective on February 3, 2022, as most recently amended by Post-Effective Amendment No. 3 to Form S-1 on Form S-3, filed on March 30, 2023 and declared effective on April 5, 2023 (the “Prior Registration Statement,” as amended and/or supplemented), because such shares and warrants are being transferred from the Prior Registration Statement pursuant to Rule 429 under the Securities Act. Pursuant to Rule 429(b) under the Securities Act, this registration statement, upon effectiveness, will constitute a post-effective amendment to the Prior Registration Statement, which post-effective amendment shall hereafter become effective concurrently with the effectiveness of this registration statement and in accordance with Section 8(c) of the Securities Act. See “Statement Pursuant to Rule 429” in this registration statement.

 

(8)

Each share of common stock registered hereunder includes an associated right (the “Rights”) as set forth in the Rights Agreement, dated as of April 16, 2023, between the registrant and Continental Stock Transfer & Trust Company, as rights agent. Rights are attached to the shares of common stock, will not be offered separately, and are not exercisable until the occurrence of certain events specified in the Rights Agreement. The value attributable to the Rights, if any, is reflected in the value of the common stock.

   
(9) Pursuant to Rule 457(g) of the Securities Act, no separate fee is recorded for the warrants and the entire fee is allocated to the underlying common stock.