Soon-Shiong Patrick's Form 4 filing
Heliogen, Inc. (HLGN) · filed Apr 10, 2023
- Accession no.
- 0000899243-23-011075
- Filed
- Apr 10, 2023, 9:21 PM ET
- Trade date
- Apr 5-6, 2023
- Filing delay
- 5 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market purchases total $253.3K. It was filed 5 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Soon-Shiong PatrickCIK 0001189020 | 10% Owner |
| California Capital Equity, LLCCIK 0001517764 | 10% Owner |
| Nant Capital, LLCCIK 0001675758 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades at prices ranging from $0.2312 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.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $0.2424 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.
Referenced by the price of 1 transaction in Table I.