# EDGAR Filing Document

**Accession Number:** 0001189020
**File Stem:** 0000899243-23-009756
**Filing Date:** 2023-3
**Character Count:** 10244
**Document Hash:** c4f9d43da68e371d98d7a98095c60214
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-009756.hdr.sgml**: 20230327

**ACCESSION NUMBER**: 0000899243-23-009756

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230323

**FILED AS OF DATE**: 20230327

**DATE AS OF CHANGE**: 20230327

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** SOON-SHIONG PATRICK
- **CENTRAL INDEX KEY:** 0001189020

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40209
- **FILM NUMBER:** 23765783

**MAIL ADDRESS:**
- **STREET 1:** 9922 JEFFERSON BOULEVARD
- **CITY:** CULVER CITY
- **STATE:** CA
- **ZIP:** 90232

**FORMER NAME:**
- **FORMER CONFORMED NAME:** SOON SHIONG PATRICK
- **DATE OF NAME CHANGE:** 20020912
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** CALIFORNIA CAPITAL EQUITY, LLC
- **CENTRAL INDEX KEY:** 0001517764
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40209
- **FILM NUMBER:** 23765784

**BUSINESS ADDRESS:**
- **STREET 1:** 10182 CULVER BOULEVARD
- **CITY:** CULVER CITY
- **STATE:** CA
- **ZIP:** 90232
- **BUSINESS PHONE:** 310-836-6400

**MAIL ADDRESS:**
- **STREET 1:** 10182 CULVER BOULEVARD
- **CITY:** CULVER CITY
- **STATE:** CA
- **ZIP:** 90232
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Nant Capital, LLC
- **CENTRAL INDEX KEY:** 0001675758

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40209
- **FILM NUMBER:** 23765785

**BUSINESS ADDRESS:**
- **BUSINESS PHONE:** 310-836-6400

**MAIL ADDRESS:**
- **STREET 1:** 9922 JEFFERSON BOULEVARD
- **CITY:** CULVER CITY
- **STATE:** CA
- **ZIP:** 90232
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Heliogen, Inc.
- **CENTRAL INDEX KEY:** 0001840292
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRIC SERVICES [4911]
- **IRS NUMBER:** 854204953
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 130 W UNION ST.
- **CITY:** PASADENA
- **STATE:** CA
- **ZIP:** 91103
- **BUSINESS PHONE:** 9709240446

**MAIL ADDRESS:**
- **STREET 1:** 130 W UNION ST.
- **CITY:** PASADENA
- **STATE:** CA
- **ZIP:** 91103

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Athena Technology Acquisition Corp.
- **DATE OF NAME CHANGE:** 20210112

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Nant Capital, LLC<br><sub>(Last) (First) (Middle)</sub><br>450 DULEY ROAD<br><sub>(Street)</sub><br>EL SEGUNDO, CA 90245<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-23 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Heliogen, Inc. [ HLGN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>CALIFORNIA CAPITAL EQUITY, LLC<br><sub>(Last) (First) (Middle)</sub><br>C/O NANT CAPITAL LLC<br>9922 JEFFERSON BOULEVARD<br><sub>(Street)</sub><br>CULVER CITY, CA 90230<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-23 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Heliogen, Inc. [ HLGN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>SOON-SHIONG PATRICK<br><sub>(Last) (First) (Middle)</sub><br>C/O NANT CAPITAL LLC<br>9922 JEFFERSON BOULEVARD<br><sub>(Street)</sub><br>CULVER CITY, CA 90232<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-23 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Heliogen, Inc. [ HLGN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-23 |  | P |  | 426374 | A | 0.21<sup>(1)</sup> | 1438037 | D<sup>(2)</sup> |  |
| Common Stock | 2023-03-24 |  | P |  | 907677 | A | 0.2387<sup>(3)</sup> | 2345714 | D<sup>(2)</sup> |  |
| Common Stock |  |  |  |  |  |  |  | 24646323 | D<sup>(4)</sup> |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) This transaction was executed in multiple trades at prices ranging from $0.2079 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.

(2) 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.

(3) This transaction was executed in multiple trades at prices ranging from $0.2136 to $0.2500. 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.

(4) 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.

**Signature:** /s/ Charles Kenworthy, Manager, Nant Capital LLC  
**Date:** 2023-03-27

**Signature:** /s/ Charles Kenworthy, Manager, California Capital LLC  
**Date:** 2023-03-27

**Signature:** s/ Patrick Soon-Shiong  
**Date:** 2023-03-27

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**