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 |
|---|---|---|---|---|---|---|
| April 12, 2023 Filed Apr 14, 2023 16:53 UTC | Heliogen, Inc. HLGN · Entity 78373 | Exercise / conversionCommon Stock | 1,000,000 | $0.09 | $90,000.00 |
DisclosureSEC source: 0001214659-23-005430 · marketforms-61211.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,672,612 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 |
| December 30, 2022 Filed Dec 30, 2022 19:39 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GiftCommon Stock | 211,864 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-131449 · tm2233731-2_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006 Disclosed balance after: 4,611,086 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 |
| December 16, 2022 Filed Feb 10, 2023 19:24 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GrantCommon Stock | 43,271 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-018737 · tm236389-1_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,271 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 Company or its subsidiaries through the applicable vesting date) in three equal annual installments, such that the RSUs will be fully vested on October 31, 2025. Read SEC document |
| November 18, 2022 Filed Nov 22, 2022 17:36 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 50,000 | $1.00 | $50,000.00 |
DisclosureSEC source: 0001127602-22-026273 · form4.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,672,612 Read SEC document |
| October 25, 2022 Filed Oct 26, 2022 21:00 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 16,250 | $3.78 | $61,394.13 |
DisclosureSEC source: 0001104659-22-111651 · tm2229003-1_4seq1.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,590,997 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.465 to $4.085. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · ownership.nature: 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. Read SEC document |
| October 24, 2022 Filed Oct 26, 2022 21:00 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 16,250 | $3.61 | $58,729.13 |
DisclosureSEC source: 0001104659-22-111651 · tm2229003-1_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,607,247 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.515 to $3.81. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · ownership.nature: 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. Read SEC document |
| October 20, 2022 Filed Oct 24, 2022 16:41 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 80,000 | $4.22 | $337,440.00 |
DisclosureSEC source: 0001104659-22-110939 · tm2228825-1_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006 Disclosed balance after: 4,822,950 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.12 to $4.52. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · 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 |
| October 11, 2022 Filed Oct 12, 2022 17:12 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 16,250 | $5.34 | $86,807.50 |
DisclosureSEC source: 0001104659-22-108152 · tm2228108-1_4seq1.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,623,497 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.155 to $5.53. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · ownership.nature: 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. Read SEC document |
| October 10, 2022 Filed Oct 12, 2022 17:12 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 16,250 | $5.46 | $88,804.63 |
DisclosureSEC source: 0001104659-22-108152 · tm2228108-1_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,639,747 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.045 to $5.615. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · ownership.nature: 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. Read SEC document |
| September 27, 2022 Filed Sep 28, 2022 21:02 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 16,250 | $5.36 | $87,082.13 |
DisclosureSEC source: 0001104659-22-103814 · tm2226888-1_4seq1.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,655,997 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.01 to $5.58. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · ownership.nature: 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. Read SEC document |
| September 26, 2022 Filed Sep 28, 2022 21:02 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 16,250 | $4.83 | $78,472.88 |
DisclosureSEC source: 0001104659-22-103814 · tm2226888-1_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,672,247 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.37 to $5.05. The reporting person undertakes to provide 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 within the range set forth in this footnote. F3 · ownership.nature: 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. Read SEC document |
| September 01, 2022 Filed Sep 6, 2022 17:50 UTC | Heliogen, Inc. HLGN · Entity 78373 | OtherCommon Stock | 1,070,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-022117 · form4.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 16,175 F1 · shares: The securities are held directly by Idealab Studio, LLC ("Idealab Studio"). Mr. Gross is the Chairman and Chief Executive Officer of Idealab Studio. In addition, Mr. Gross is co-Trustee of The Gross Goodstein Living Trust dated April 18, 2006 (the "Trust"), which owns a majority of the class of securities entitled to elect two directors to Idealab Studio's board of managers. As a result of the foregoing, Mr. Gross may be deemed to beneficially own the securities held by Idealab Studio. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 17:14 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | SaleCommon Stock | 170,210 | $5.18 | $882,334.60 |
DisclosureSEC source: 0001104659-22-093010 · tm2224129-3_4seq1.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Holdings, LLC Disclosed balance after: 1,276,355 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $5.15 to $5.25, inclusive. The reporting person undertakes to provide to 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 within the range(s) set forth in this Form 4. 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 Bill 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 |
| August 17, 2022 Filed Aug 19, 2022 17:14 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | OtherCommon Stock | 36,825 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-093010 · tm2224129-3_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Holdings, LLC Disclosed balance after: 1,446,565 F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid. 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 Bill 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 |
| August 11, 2022 Filed Aug 15, 2022 17:40 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | OtherCommon Stock | 46,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-091365 · tm2223488-1_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,688,497 F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid. 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. Read SEC document |
| June 28, 2022 Filed Aug 15, 2022 17:40 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GiftCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-091365 · tm2223488-1_4seq1.xml · nonDerivative · entry 4 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by spouse as UTMA custodian for child Disclosed balance after: 5,002,950 F5 · kind: Transfer to spouse as custodian for child under Uniform Transfer to Minors Act. 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. F5 · ownership.nature: Transfer to spouse as custodian for child under Uniform Transfer to Minors Act. 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. Read SEC document |
| June 28, 2022 Filed Aug 15, 2022 17:40 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GiftCommon Stock | 500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-091365 · tm2223488-1_4seq1.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006 Disclosed balance after: 4,902,950 F3 · kind: This transaction involved a gift of securities to the reporting person's children and to his spouse as custodian for child under Uniform Transfer To Minors Act, which is further described in footnote 5 of this report. The reporting person disclaims beneficial ownership of the shares held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose. F4 · 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 14, 2022 Filed Jun 16, 2022 17:35 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 20,000 | $2.47 | $49,400.00 |
DisclosureSEC source: 0001127602-22-017645 · form4.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,622,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.50, inclusive. The reporting person 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 within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| June 06, 2022 Filed Jun 8, 2022 17:06 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 13,124 | $3.74 | $49,083.76 |
DisclosureSEC source: 0001127602-22-017059 · form4.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,602,612 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.69 to $3.81, inclusive. The reporting person 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 within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| May 12, 2022 Filed May 16, 2022 21:02 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | OtherCommon Stock | 1,483,390 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-061594 · tm2215768-3_4seq.xml · nonDerivative · entry 3 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Holdings, LLC Disclosed balance after: 1,483,390 F3 · kind: Represents an acquisition of securities from an in-kind distribution from Idealab Studio, LLC to its members, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b). Idealab Holdings, LLC ("Holdings") is a wholly-owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Bill 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 |
| May 12, 2022 Filed May 16, 2022 21:02 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | OtherCommon Stock | 13,848,605 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-061594 · tm2215768-3_4seq.xml · nonDerivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 1,734,943 F2 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid. Read SEC document |
| May 12, 2022 Filed May 16, 2022 21:02 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | OtherCommon Stock | 5,402,950 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-061594 · tm2215768-3_4seq.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006 Disclosed balance after: 5,402,950 F1 · kind: Represents an acquisition of securities from an in-kind distribution from Idealab Studio, LLC to its members, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b). Mr. Gross is co-Trustee together with his wife of the Gross Goodstein Living Trust dated April 18, 2006 (the "Trust") and may be deemed to have beneficial ownership of the securities held the Trust. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| February 11, 2022 Filed Feb 15, 2022 20:19 UTC | Energy Vault Holdings, Inc. NRGV · Entity 5363 | GrantCommon Stock | 15,583,548 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-023991 · tm225795-19_4seq1.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Idealab Studio, LLC Disclosed balance after: 15,583,548 F1 · security: In connection with the merger described in that certain Business Combination Agreement and Plan of Reorganization, dated as of September 8, 2021, by and among Novus Capital Corporation II, now known as Energy Vault Holdings, Inc. ("Energy Vault Holdings") (the "Issuer"), NCCII Merger Corp. ("Merger Sub"), and Energy Vault, Inc. ("Energy Vault"), pursuant to which Merger Sub merged with and into Energy Vault, with Energy Vault surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). F2 · price: The Reporting Person received shares of Common Stock in exchange for 2,300,664 shares of common stock in Energy Vault. On the effective date of the Merger, the closing price of the Issuer's Common Stock was $11.55 per share. The Reporting Person disclaims any such beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 21:57 UTC | Heliogen, Inc. HLGN · Entity 78373 | GrantEmployee Stock Option (right to buy) · Derivative | 4,209,710 | Not disclosed Strike: $0.18 | Not disclosed |
DisclosureSEC source: 0001209191-22-001349 · doc4.xml · derivative · entry 4 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,209,710 Underlying: Common Stock · 4,209,710 shares Expires 2028-12-05 F3 · price: Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. F5 · derivative.exercise_date: The shares underlying the option vested or shall vest in 48 equal monthly installments commencing December 6, 2018, subject to the Reporting Person's continuous service. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 21:57 UTC | Heliogen, Inc. HLGN · Entity 78373 | GrantEmployee Stock Option (right to buy) · Derivative | 5,033,213 | Not disclosed Strike: $0.35 | Not disclosed |
DisclosureSEC source: 0001209191-22-001349 · doc4.xml · derivative · entry 3 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,033,213 Underlying: Common Stock · 5,033,213 shares Expires 2030-12-20 F3 · price: Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. F4 · derivative.exercise_date: The shares underlying the option vested or shall vest in 48 equal monthly installments commencing December 21, 2020, subject to the Reporting Person's continuous service. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 21:57 UTC | Heliogen, Inc. HLGN · Entity 78373 | GrantEmployee Stock Option (right to buy) · Derivative | 10,112,732 | Not disclosed Strike: $18.11 | Not disclosed |
DisclosureSEC source: 0001209191-22-001349 · doc4.xml · derivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,112,732 Underlying: Common Stock · 10,112,732 shares Expires 2031-11-09 F3 · price: Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. F2 · derivative.exercise_date: The shares underlying the option shall vest in 48 equal monthly installments commencing December 30, 2021, subject to the Reporting Person's continuous service. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 21:57 UTC | Heliogen, Inc. HLGN · Entity 78373 | GrantCommon stock | 1,589,488 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-001349 · doc4.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,589,488 F1 · shares: Received on December 30, 2021 pursuant to that certain Business Combination Agreement ("Merger Agreement"), dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares. Read SEC document |
| December 30, 2021 Filed Jan 7, 2022 21:34 UTC Amendment | Heliogen, Inc. HLGN · Entity 78373 | GrantEmployee Stock Option (right to buy) · Derivative | 4,209,710 | Not disclosed Strike: $0.09 | Not disclosed |
DisclosureSEC source: 0001209191-22-002613 · doc4a.xml · derivative · entry 4 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,209,710 Underlying: Common Stock · 4,209,710 shares Expires 2028-12-05 F3 · price: Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. F5 · derivative.exercise_date: The shares underlying the option vested or shall vest in 48 equal monthly installments commencing December 6, 2018, subject to the Reporting Person's continuous service. Read SEC document |
| December 30, 2021 Filed Jan 7, 2022 21:34 UTC Amendment | Heliogen, Inc. HLGN · Entity 78373 | GrantEmployee Stock Option (right to buy) · Derivative | 5,033,213 | Not disclosed Strike: $0.18 | Not disclosed |
DisclosureSEC source: 0001209191-22-002613 · doc4a.xml · derivative · entry 3 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,033,213 Underlying: Common Stock · 5,033,213 shares Expires 2030-12-20 F3 · price: Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. F4 · derivative.exercise_date: The shares underlying the option vested or shall vest in 48 equal monthly installments commencing December 21, 2020, subject to the Reporting Person's continuous service. Read SEC document |
| December 30, 2021 Filed Jan 7, 2022 21:34 UTC Amendment | Heliogen, Inc. HLGN · Entity 78373 | GrantEmployee Stock Option (right to buy) · Derivative | 10,112,732 | Not disclosed Strike: $9.00 | Not disclosed |
DisclosureSEC source: 0001209191-22-002613 · doc4a.xml · derivative · entry 2 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,112,732 Underlying: Common Stock · 10,112,732 shares Expires 2031-11-09 F3 · price: Represents options issued by Legacy Heliogen and assumed by the Issuer on December 30, 2021 pursuant to the Merger Agreement. F2 · derivative.exercise_date: The shares underlying the option shall vest in 48 equal monthly installments commencing December 30, 2021, subject to the Reporting Person's continuous service. Read SEC document |
| December 30, 2021 Filed Jan 7, 2022 21:34 UTC Amendment | Heliogen, Inc. HLGN · Entity 78373 | GrantCommon stock | 1,589,488 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-002613 · doc4a.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,589,488 F1 · shares: Received on December 30, 2021 pursuant to that certain Business Combination Agreement ("Merger Agreement"), dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares. Read SEC document |
| December 30, 2021 Filed Jun 2, 2022 16:05 UTC Amendment | Heliogen, Inc. HLGN · Entity 78373 | GrantCommon Stock | 1,086,882 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-22-007751 · marketforms-56401.xml · nonDerivative · entry 1 GROSS WILLIAM · CIK 0001079818 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,086,882 F1 · ownership.nature: The securities are held directly by Idealab Studio. Idealab Studio and Mr. Gross may be deemed to share beneficial ownership of the common stock. Idealab Studio and Mr. Gross each disclaims beneficial ownership of such shares except to the extent of his and its pecuniary interest therein. 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.