Prime Movers Lab Fund I LP's Form 4/A amendment
AmendedHeliogen, Inc. (HLGN) · filed Jul 12, 2022
- Accession no.
- 0001062993-22-016241
- Filed
- Jul 12, 2022, 11:36 AM ET
- Trade date
- Jun 28-30, 2022
- Filing delay
- 14 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jun 30, 2022
This filing lists 3 non-derivative transactions. Open-market sales total $6.19M. It was filed 14 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 |
|---|---|
| Prime Movers Lab Fund I LPCIK 0001751631 | 10% Owner |
| Heliogen PML SPV 1 LPCIK 0001839170 | 10% Owner |
| Sloss DakinCIK 0001875411 | 10% Owner |
| Prime Movers Lab GP I LLCCIK 0001937419 | 10% Owner |
| Prime Movers Lab GP II LLCCIK 0001937460 | 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 28, 2022 | Common Stock | SSaleDisposed | −1,028,654 | $2.82F5 | −$2,896,895.39 | 18,901,623 | Indirect | |
| Jun 29, 2022 | Common Stock | SSaleDisposed | −1,405,434 | $2.02F6 | −$2,845,020.05 | 17,496,189 | Indirect | |
| Jun 30, 2022 | Common Stock | SSaleDisposed | −225,786 | $1.99F7 | −$449,720.55 | 17,270,403 | Indirect |
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 amendment is filed solely to correct the source of the shares reported as sold and to correct a technical error that caused the omission of Prime Movers Lab GP I LLC ("PML GP") and Prime Movers Lab GP II LLC ("PML GP II") as reporting persons.
- F2
Held by Prime Movers Lab Fund I LP ("PML"). PML GP is the general partner of PML.
- F3
Held by Heliogen PML SPV 1 LP ("Heliogen PML"). PML GP II is the general partner of Heliogen PML.
- F4
Dakin Sloss is the manager of PML GP and PML GP II and as a result may be deemed to have or share beneficial ownership the securities held by PML and Heliogen PML. Mr. Sloss disclaims any beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein.
- F5
The price of $2.8162 per share represents a weighted average of purchase prices ranging from $2.485 to $3.13 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F6
The price of $2.0243 per share represents a weighted average of purchase prices ranging from $1.96 to $2.63 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F7
The price of $1.9918 per share represents a weighted average of purchase prices ranging from $1.86 to $2.21 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
Referenced by the price of 1 transaction in Table I.