Nant Capital, LLC - 10 Apr 2023 Form 4 Insider Report for Heliogen, Inc. (HLGN)

Role: 10%+ Owner
Signature: /s/ Charles Kenworthy, Manager, Nant Capital LLC
Issuer symbol: HLGN
Transactions as of: 10 Apr 2023
Net transactions value: +$135,041
Form type: 4
Filing time: 12 Apr 2023, 20:06:47 UTC
Previous filing: 10 Apr 2023
Next filing: 17 Apr 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HLGN	Common Stock	Purchase	$21,969	+88,086	+0.34%	$0.2494^*	25,760,460	10 Apr 2023	Direct	F1, F2
transaction	HLGN	Common Stock	Purchase	$70,055	+280,219	+1.1%	$0.2500^*	26,040,679	11 Apr 2023	Direct	F2
transaction	HLGN	Common Stock	Purchase	$43,017	+172,345	+0.66%	$0.2496^*	26,213,024	12 Apr 2023	Direct	F2, F3
holding	HLGN	Common Stock						2,345,714	10 Apr 2023	Direct	F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This transaction was executed in multiple trades at prices ranging from $0.2463 to $0.25. 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.
F2	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.
F3	This transaction was executed in multiple trades at prices ranging from $0.2469 to $0.25. 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.
F4	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.