Soon-Shiong Patrick's Form 4 filing
Heliogen, Inc. (HLGN) · filed Jun 15, 2023
- Accession no.
- 0000899243-23-015652
- Filed
- Jun 15, 2023, 7:31 PM ET
- Trade date
- Jun 13-15, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $350.6K. It was filed 2 days after the trade.
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.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2023 | Common Stock | PPurchaseAcquired | +1,058,542 | $0.199F1 | +$210,649.86 | 31,193,753 | Direct | |
| Jun 14, 2023 | Common Stock | PPurchaseAcquired | +279,752 | $0.21F3 | +$58,747.92 | 31,473,505 | Direct | |
| Jun 15, 2023 | Common Stock | PPurchaseAcquired | +387,612 | $0.2096F4 | +$81,243.48 | 31,861,117 | Direct |
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 $0.1912 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.
Referenced by the price of 1 transaction in Table I.
- F3
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.
Referenced by the price of 1 transaction in Table I.
- F4
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.
Referenced by the price of 1 transaction in Table I.