Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Energy Vault Holdings, Inc.NRGV · Entity 5363 | Director | March 13, 2024 | June 20, 2024 |
| Heliogen, Inc.HLGN · Entity 78373 | 10% owner | February 15, 2024 | February 20, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Energy Vault Holdings, Inc.
Report date March 13, 2024 · Filed June 20, 2024 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Idealab Holdings, LLC | 1,276,355 |
Reported balance
Holding disclosure · report date 2024-03-13 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 1,276,355 F1: On March 15, 2024, a Form 4 was filed reporting the acquisition of beneficial ownership of securities that did not occur. The share amounts reported herein represent the current shares of Common Stock beneficially owned as of the date of filing of this amendment. F2: Idealab Holdings, LLC ("Holdings") is a wholly owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Mr. Gross, Marcia Goodstein (Mr. Gross's wife), and Renee LaBranr, and no single person has voting or dispositive authority over the securities reported herein. Mr. Gross may be deemed to share beneficial ownership of the securities held by Holdings. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 154,740 |
Reported balance
Holding disclosure · report date 2024-03-13 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 154,740 |
| Common StockSEC Table I · non-derivative | IndirectHeld by Gross Goodstein Living Trust dated April 18, 2006 | 4,511,086 |
Reported balance
Holding disclosure · report date 2024-03-13 · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · Balance 4,511,086 F3: Mr. Gross is co-Trustee together with his wife of the Gross Trust and may be deemed to have beneficial ownership of the securities held by the Gross Trust. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Idealab Studio, LLC | 1,590,997 |
Reported balance
Holding disclosure · report date 2024-03-13 · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · Balance 1,590,997 F4: Idealab Studio, LLC ("ILS") has a board of managers comprised of Mr. Gross, Allen Morgan, and Howard Morgan. The board of managers acts by majority consent so no single person has sole voting or dispositive authority over such securities. Mr. Gross, Mr. Allen Morgan and Mr. Howard Morgan each disclaims beneficial ownership of the securities held by ILS, except to the extent of his pecuniary interest in such securities. The Gross Goodstein Living Trust dated April 18, 2006 (the "Gross Trust") owns a majority of the class of securities entitled to elect two directors to ILS's board of managers. Mr. Gross is the Chairman and Chief Executive Officer of ILS. As a result of the foregoing, Mr. Gross may be deemed to beneficially own the common stock held of record by ILS. |
| Common StockSEC Table I · non-derivative | IndirectHeld by spouse as UTMA custodian for child | 100,000 |
Reported balance
Holding disclosure · report date 2024-03-13 · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · Balance 100,000 F5: The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 15, 2024, a Form 4 was filed reporting the acquisition of beneficial ownership of securities that did not occur. The share amounts reported herein represent the current shares of Common Stock beneficially owned as of the date of filing of this amendment.
F2: Idealab Holdings, LLC ("Holdings") is a wholly owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Mr. Gross, Marcia Goodstein (Mr. Gross's wife), and Renee LaBranr, and no single person has voting or dispositive authority over the securities reported herein. Mr. Gross may be deemed to share beneficial ownership of the securities held by Holdings. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F3: Mr. Gross is co-Trustee together with his wife of the Gross Trust and may be deemed to have beneficial ownership of the securities held by the Gross Trust. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F4: Idealab Studio, LLC ("ILS") has a board of managers comprised of Mr. Gross, Allen Morgan, and Howard Morgan. The board of managers acts by majority consent so no single person has sole voting or dispositive authority over such securities. Mr. Gross, Mr. Allen Morgan and Mr. Howard Morgan each disclaims beneficial ownership of the securities held by ILS, except to the extent of his pecuniary interest in such securities. The Gross Goodstein Living Trust dated April 18, 2006 (the "Gross Trust") owns a majority of the class of securities entitled to elect two directors to ILS's board of managers. Mr. Gross is the Chairman and Chief Executive Officer of ILS. As a result of the foregoing, Mr. Gross may be deemed to beneficially own the common stock held of record by ILS.
F5: The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
Heliogen, Inc.
Report date February 15, 2024 · Filed February 20, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-02-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-02-15 · Sale · Disposed 442,298 · Balance 0 F1: Non-market, private transaction pursuant to a stock transfer between Idealab Holdings, LLC ("Idealab Holdings") and an affiliate of an existing holder of the Issuer's common stock. Price represents agreed value per share of non-cash consideration received in transfer. Idealab Holdings, which is a wholly owned subsidiary of Idealab, a California corporation ("Idealab"). Idealab is managed by a board of directors (the "Idealab Board") including Mr. Gross. Mr. Gross may be deemed to have beneficially own these shares. Mr. Gross disclaimed beneficial ownership of these shares except to the extent of his pecuniary interest therein. Stock transferred on 2/20/2024. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 142,313 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 142,313 F2: These shares are held by The Gross Goodstein Living Trust (the "Trust") of which Mr. Gross is a co-trustee. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 462 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 462 F3: These shares are held by Idealab Studio, LLC ("Idealab Studio"), for which Mr. Gross serves as chairman and chief executive officer. The Trust owns a majority of the class of securities of Idealab Studio entitled to elect two managers to Idealab Studio's board of managers. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Non-market, private transaction pursuant to a stock transfer between Idealab Holdings, LLC ("Idealab Holdings") and an affiliate of an existing holder of the Issuer's common stock. Price represents agreed value per share of non-cash consideration received in transfer. Idealab Holdings, which is a wholly owned subsidiary of Idealab, a California corporation ("Idealab"). Idealab is managed by a board of directors (the "Idealab Board") including Mr. Gross. Mr. Gross may be deemed to have beneficially own these shares. Mr. Gross disclaimed beneficial ownership of these shares except to the extent of his pecuniary interest therein. Stock transferred on 2/20/2024.
F2: These shares are held by The Gross Goodstein Living Trust (the "Trust") of which Mr. Gross is a co-trustee. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F3: These shares are held by Idealab Studio, LLC ("Idealab Studio"), for which Mr. Gross serves as chairman and chief executive officer. The Trust owns a majority of the class of securities of Idealab Studio entitled to elect two managers to Idealab Studio's board of managers. Mr. Gross may be deemed to beneficially own these shares. Mr. Gross disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 24, 2024 Filed May 29, 2024 16:20 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GrantCommon Stock | 68,989 | $0.00 | $0.00 |
DisclosureSEC source: 0001828536-24-000113 · wk-form4_1717014004.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,740 F1 · shares: Reflects an award of restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest (subject to the Reporting Person's continued service to the Board) on the earlier of (i) the date of the next Annual Meeting occurring after the date of grant or (ii) May 24, 2025. Read SEC document |
| March 13, 2024 Filed Mar 15, 2024 18:30 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | OtherCommon Stock | 130,000 | $1.65 | $214,500.00 |
DisclosureSEC source: 0001828536-24-000040 · wk-form4_1710541839.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Idealab Holdings, LLC Disclosed balance after: 1,406,355 F1 · kind: Represents an acquisition of securities incident to a default on a debt previously contracted. F2 · ownership.nature: Idealab Holdings, LLC (Holdings) is a wholly owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Mr. Gross, Marcia Goodstein (Mr. Gross's wife), Renee LaBran and Bob Kavner, and no single person has voting or dispositive authority over the securities reported herein. Mr. Gross may be deemed to share beneficial ownership of the securities held by Holdings. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 20:25 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 442,298 | $1.52 | $672,071.81 |
DisclosureSEC source: 0001214659-24-003184 · marketforms-64814.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · balance_after: Non-market, private transaction pursuant to a stock transfer between Idealab Holdings, LLC ("Idealab Holdings") and an affiliate of an existing holder of the Issuer's common stock. Price represents agreed value per share of non-cash consideration received in transfer. Idealab Holdings, which is a wholly owned subsidiary of Idealab, a California corporation ("Idealab"). Idealab is managed by a board of directors (the "Idealab Board") including Mr. Gross. Mr. Gross may be deemed to have beneficially own these shares. Mr. Gross disclaimed beneficial ownership of these shares except to the extent of his pecuniary interest therein. Stock transferred on 2/20/2024. Read SEC document |
| December 18, 2023 Filed Dec 20, 2023 16:06 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GiftCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001828536-23-000220 · wk-form4_1703106370.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006 Disclosed balance after: 4,511,086 F1 · ownership.nature: Mr. Gross is co-Trustee together with his wife of the Gross Trust and may be deemed to have beneficial ownership of the securities held by the Gross Trust. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 18:33 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 858,465 | $0.00 Strike: $0.18 | $0.00 |
DisclosureSEC source: 0001214659-23-008810 · marketforms-61973.xml · derivative · entry 6 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 858,465 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 21, 2020, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options were exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 18:33 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 730,311 | $0.23 | $167,971.53 |
DisclosureSEC source: 0001214659-23-008810 · marketforms-61973.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,563,766 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.23 to $0.24, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 18:33 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 858,465 | $0.18 | $154,523.70 |
DisclosureSEC source: 0001214659-23-008810 · marketforms-61973.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,294,077 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,763,000 | $0.00 Strike: $0.18 | $0.00 |
DisclosureSEC source: 0001214659-23-008583 · marketforms-61873.xml · derivative · entry 5 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 858,465 Underlying: Common Stock · 1,763,000 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 21, 2020, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F5 · derivative.expiration_date: The options were exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 1,763,000 | $0.18 | $317,340.00 |
DisclosureSEC source: 0001214659-23-008583 · marketforms-61873.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,435,612 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 17:01 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 474,513 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008463 · marketforms-61820.xml · derivative · entry 6 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options were exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 17:01 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 474,513 | $0.23 | $109,137.99 |
DisclosureSEC source: 0001214659-23-008463 · marketforms-61820.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.23 to $0.24, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4 Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 17:01 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 474,513 | $0.09 | $42,706.17 |
DisclosureSEC source: 0001214659-23-008463 · marketforms-61820.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,147,125 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 08, 2023 Filed Jun 9, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 204,255 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008387 · marketforms-61792.xml · derivative · entry 9 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 474,513 Underlying: Common Stock · 204,255 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 08, 2023 Filed Jun 9, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 204,255 | $0.22 | $44,936.10 |
DisclosureSEC source: 0001214659-23-008387 · marketforms-61792.xml · nonDerivative · entry 4 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.21 to $0.27, inclusive on 6/7/2023 and prices ranging from $0.21 to $0.24, inclusive on 6/8/2023. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4 Read SEC document |
| June 08, 2023 Filed Jun 9, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 204,255 | $0.09 | $18,382.95 |
DisclosureSEC source: 0001214659-23-008387 · marketforms-61792.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,876,867 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,559,530 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008387 · marketforms-61792.xml · derivative · entry 8 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 678,768 Underlying: Common Stock · 1,559,530 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 1,559,530 | $0.25 | $389,882.50 |
DisclosureSEC source: 0001214659-23-008387 · marketforms-61792.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.21 to $0.27, inclusive on 6/7/2023 and prices ranging from $0.21 to $0.24, inclusive on 6/8/2023. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4 Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 1,559,530 | $0.09 | $140,357.70 |
DisclosureSEC source: 0001214659-23-008387 · marketforms-61792.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,232,142 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 210,239 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008342 · marketforms-61767.xml · derivative · entry 9 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,238,298 Underlying: Common Stock · 210,239 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 210,239 | $0.24 | $50,457.36 |
DisclosureSEC source: 0001214659-23-008342 · marketforms-61767.xml · nonDerivative · entry 4 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.24 to $0.26, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4 Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 210,239 | $0.09 | $18,921.51 |
DisclosureSEC source: 0001214659-23-008342 · marketforms-61767.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,882,851 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 05, 2023 Filed Jun 7, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 91,463 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008342 · marketforms-61767.xml · derivative · entry 8 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,448,537 Underlying: Common Stock · 91,463 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 05, 2023 Filed Jun 7, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 91,463 | $0.25 | $22,865.75 |
DisclosureSEC source: 0001214659-23-008342 · marketforms-61767.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.24 to $0.26, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4 Read SEC document |
| June 05, 2023 Filed Jun 7, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 91,463 | $0.09 | $8,231.67 |
DisclosureSEC source: 0001214659-23-008342 · marketforms-61767.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,764,075 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 02, 2023 Filed Jun 5, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,587 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008277 · marketforms-61756.xml · derivative · entry 9 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,540,000 Underlying: Common Stock · 3,587 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 02, 2023 Filed Jun 5, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 3.587 | $0.26 | $0.93 |
DisclosureSEC source: 0001214659-23-008277 · marketforms-61756.xml · nonDerivative · entry 4 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: These shares were sold in multiple transactions at $.26. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| June 02, 2023 Filed Jun 5, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 3,587 | $0.09 | $322.83 |
DisclosureSEC source: 0001214659-23-008277 · marketforms-61756.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,676,199 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 01, 2023 Filed Jun 5, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 25,412 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008277 · marketforms-61756.xml · derivative · entry 8 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,543,587 Underlying: Common Stock · 25,412 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| June 01, 2023 Filed Jun 5, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 25,412 | $0.26 | $6,607.12 |
DisclosureSEC source: 0001214659-23-008277 · marketforms-61756.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: These shares were sold in multiple transactions at $.26. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| June 01, 2023 Filed Jun 5, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 25,412 | $0.09 | $2,287.08 |
DisclosureSEC source: 0001214659-23-008277 · marketforms-61756.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,698,024 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 300 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008174 · marketforms-61700.xml · derivative · entry 6 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,568,999 Underlying: Common Stock · 300 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 300 | $0.26 | $78.00 |
DisclosureSEC source: 0001214659-23-008174 · marketforms-61700.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: These shares were sold in multiple transactions at $0.26. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth in footnote (1) to this Form 4. Read SEC document |
| May 30, 2023 Filed Jun 1, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 300 | $0.09 | $27.00 |
DisclosureSEC source: 0001214659-23-008174 · marketforms-61700.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,912 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 25, 2023 Filed May 30, 2023 17:05 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GrantCommon Stock | 42,480 | $0.00 | $0.00 |
DisclosureSEC source: 0001828536-23-000094 · wf-form4_168548072468556.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,751 F1 · shares: Reflects an award of restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest (subject to the Reporting Person's continued service to the Board) on the earlier of (i) the date of the next Annual Meeting occurring after the date of grant or (ii) May 25, 2024. Read SEC document |
| May 25, 2023 Filed May 30, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 335,653 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-008043 · marketforms-61673.xml · derivative · entry 6 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,569,299 Underlying: Common Stock · 335,653 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| May 25, 2023 Filed May 30, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 335,653 | $0.26 | $87,269.78 |
DisclosureSEC source: 0001214659-23-008043 · marketforms-61673.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.26 to $0.27, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| May 25, 2023 Filed May 30, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 335,653 | $0.09 | $30,208.77 |
DisclosureSEC source: 0001214659-23-008043 · marketforms-61673.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,103,091 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 24, 2023 Filed May 25, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 56,523 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-007825 · marketforms-61649.xml · derivative · entry 9 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,904,952 Underlying: Common Stock · 56,523 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| May 24, 2023 Filed May 25, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 56,523 | $0.26 | $14,695.98 |
DisclosureSEC source: 0001214659-23-007825 · marketforms-61649.xml · nonDerivative · entry 4 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.26 to $0.27, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| May 24, 2023 Filed May 25, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 56,523 | $0.09 | $5,087.07 |
DisclosureSEC source: 0001214659-23-007825 · marketforms-61649.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,729,135 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 23, 2023 Filed May 25, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 94,826 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-007825 · marketforms-61649.xml · derivative · entry 8 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,961,475 Underlying: Common Stock · 94,826 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| May 23, 2023 Filed May 25, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 94,826 | $0.26 | $24,654.76 |
DisclosureSEC source: 0001214659-23-007825 · marketforms-61649.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.26 to $0.27, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| May 23, 2023 Filed May 25, 2023 16:30 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 94,826 | $0.09 | $8,534.34 |
DisclosureSEC source: 0001214659-23-007825 · marketforms-61649.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,767,438 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 18, 2023 Filed May 19, 2023 18:22 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 340 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-007602 · marketforms-61581.xml · derivative · entry 9 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,056,301 Underlying: Common Stock · 340 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| May 18, 2023 Filed May 19, 2023 18:22 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 340 | $0.28 | $95.20 |
DisclosureSEC source: 0001214659-23-007602 · marketforms-61581.xml · nonDerivative · entry 4 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 Read SEC document |
| May 18, 2023 Filed May 19, 2023 18:22 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 340 | $0.09 | $30.60 |
DisclosureSEC source: 0001214659-23-007602 · marketforms-61581.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,952 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 17, 2023 Filed May 19, 2023 18:22 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 153,069 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-007602 · marketforms-61581.xml · derivative · entry 8 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,056,641 Underlying: Common Stock · 153,069 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F6 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
| May 17, 2023 Filed May 19, 2023 18:22 UTC | Heliogen, Inc. HLGN · Entity 78373 | SaleCommon Stock | 153,069 | $0.29 | $44,390.01 |
DisclosureSEC source: 0001214659-23-007602 · marketforms-61581.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.28 to $0.29, inclusive. Mr. Gross undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| May 17, 2023 Filed May 19, 2023 18:22 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 153,069 | $0.09 | $13,776.21 |
DisclosureSEC source: 0001214659-23-007602 · marketforms-61581.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,825,681 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 12, 2023 Filed Apr 14, 2023 16:53 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,000,000 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001214659-23-005430 · marketforms-61211.xml · derivative · entry 5 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,209,710 Underlying: Common Stock · 1,000,000 shares Expires 2023-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options vested and became exercisable in equal monthly installments commencing December 6, 2018, subject to Mr. Gross's continuous service which ceased effective February 5, 2023. F5 · derivative.expiration_date: The options are exercisable through the indicated expiration date pursuant to an extension granted by the Issuer. The original expiration date was approximately 10 years from the initial vesting date of options with the same exercise price. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.