Newhouse Phyllis W.'s Form 4 filing
Heliogen, Inc. (HLGN) · filed Jan 4, 2022
- Accession no.
- 0001213900-22-000590
- Filed
- Jan 4, 2022, 9:59 PM ET
- Trade date
- Dec 30, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. It was filed 5 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 |
|---|---|
| Newhouse Phyllis W.CIK 0001847751 | Director |
| Athena Technology Sponsor LLCCIK 0001840489 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 30, 2021 | Common Stock | JOtherDisposed | −361,667 | –F2,F3 | – | 338,333 | Direct | |
| Dec 30, 2021 | Common Stock | CConversionAcquired | +8,566,667 | –F6 | – | 8,905,000 | Direct | |
| Dec 30, 2021 | Common Stock | PPurchaseAcquired | +510,000 | –F8 | – | 9,415,000 | Direct | |
| Dec 30, 2021 | Common Stock | JOtherDisposed | −5,121,528 | –F3 | – | 4,293,472 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 30, 2021 | Common Stock | CConversionDisposed | −8,566,667 | $0.00 | $0 | 0 | Direct | |
| Dec 30, 2021 | Common Stock | JOtherAcquired | +338,333 | –F2 | – | 338,333 | 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.
- F2
In connection with the consummation of the Business Combination, 700,000 private placement units held by Athena Technology Sponsor LLC ("Sponsor"), which consisted of one share of Class A common stock and one-third of one redeemable warrant, separated into their constituent securities.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F3
In connection with the Business combination, the Sponsor liquidated and distributed the reported securities to its members.
Referenced by the price of 2 transactions in Table I.
- F6
In connection with the consummation of the Business Combination, the shares of Class B common stock held by the Sponsor automatically converted into shares of Class A common stock on a one-for-one basis, which was reclassified into common stock (see footnote 1).
Referenced by the price of 1 transaction in Table I.
- F8
Pursuant to that certain Sponsor Support Agreement, by and among Athena, the Sponsor and Heliogen, in connection with the Business Combination, 510,000 shares of common stock were issued to the Sponsor by the Issuer.
Referenced by the price of 1 transaction in Table I.