Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT TO RULES 13d-1 (b), (c) AND (d)
AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. 1)*
Heliogen, Inc.
(Name of Issuer)
Common Stock, par value $0.0001
(Title of Class of Securities)
42329E105
(CUSIP Number)
December 31, 2022
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| ¨ | Rule 13d-1(b) | |
| ¨ | Rule 13d-1(c) | |
| x | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
(Continued on following pages)
Page 1 of 11
Exhibit Index on Page 10
| CUSIP # 42329E105 | Page 2 of 11 |
| 1 | NAME OF REPORTING PERSONS NeoTribe Ventures I, L.P. (“NTV I”) | |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ¨ (b) x |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP
OR PLACE OF ORGANIZATION Delaware | |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE
VOTING POWER 10,102,381 shares, except that NeoTribe Partners I, LLC (“NTP I”), the general partner of NTV I, may be deemed to have sole power to vote these shares, and Krishna Kolluri (“Kolluri”), the managing member of NTP I, may be deemed to have sole power to vote these shares. |
| 6 | SHARED
VOTING POWER See response to row 5. | |
| 7 | SOLE DISPOSITIVE POWER 10,102,381 shares, except that NTP I, the general partner of NTV I, may be deemed to have sole power to dispose of these shares, and Kolluri, the managing member of NTP I, may be deemed to have sole power to dispose of these shares. | |
| 8 | SHARED
DISPOSITIVE POWER See response to row 7. |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | 10,102,381 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | 5.3% | |
| 12 | TYPE OF REPORTING PERSON | PN | |
| CUSIP # 42329E105 | Page 3 of 11 |
| 1 | NAME OF REPORTING PERSONS NeoTribe Associates I, L.P. (“NTA I”) | |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ¨ (b) x |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP
OR PLACE OF ORGANIZATION Delaware | |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE
VOTING POWER 407,573 shares, except that NeoTribe Partners I, LLC (“NTP I”), the general partner of NTA I, may be deemed to have sole power to vote these shares, and Krishna Kolluri (“Kolluri”), the managing member of NTP I, may be deemed to have sole power to vote these shares. |
| 6 | SHARED
VOTING POWER See response to row 5. | |
| 7 | SOLE DISPOSITIVE POWER 407,573 shares, except that NTP I, the general partner of NTA I, may be deemed to have sole power to dispose of these shares, and Kolluri, the managing member of NTP I, may be deemed to have sole power to dispose of these shares. | |
| 8 | SHARED
DISPOSITIVE POWER See response to row 7. |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | 407,573 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | 0.2% | |
| 12 | TYPE OF REPORTING PERSON | PN | |
| CUSIP # 42329E105 | Page 4 of 11 |
| 1 | NAME OF REPORTING PERSONS NeoTribe Partners I, LLC (“NTP I”) | |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ¨ (b) x |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP
OR PLACE OF ORGANIZATION Delaware | |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE
VOTING POWER 10,509,954 shares, of which 10,102,381 shares are directly owned by NeoTribe Ventures I, L.P. (“NTV I”) and 407,573 shares are directly owned by NeoTribe Associates I, L.P. (“NTA I”). NTP I, the general partner of NTV I and NTA I, may be deemed to have sole power to vote these shares, and Krishna Kolluri (“Kolluri”), the managing member of NTP I, may be deemed to have sole power to vote these shares. |
| 6 | SHARED
VOTING POWER See response to row 5. | |
| 7 | SOLE
DISPOSITIVE POWER 10,509,954 shares, of which 10,102,381 shares are directly owned by NTV I and 407,573 shares are directly owned by NTA I. NTP I, the general partner of NTV I and NTA I, may be deemed to have sole power to dispose of these shares, and Kolluri, the managing member of NTP I, may be deemed to have sole power to dispose of these shares. | |
| 8 | SHARED
DISPOSITIVE POWER See response to row 7. |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | 10,509,954 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | 5.5% | |
| 12 | TYPE OF REPORTING PERSON | OO | |
| CUSIP # 42329E105 | Page 5 of 11 |
| 1 | NAME OF REPORTING PERSONS Krishna Kolluri (“Kolluri”) | |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ¨ (b) x |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP
OR PLACE OF ORGANIZATION United States | |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE
VOTING POWER 10,509,954 shares, of which 10,102,381 shares are directly owned by NeoTribe Ventures I, L.P. (“NTV I”) and 407,573 shares are directly owned by NeoTribe Associates I, L.P. (“NTA I”). Kolluri is the managing member of NeoTribe Partners I, LLC (“NTP I”), which is the general partner of NTV I and NTA I. Kolluri may be deemed to have sole power to vote these shares. |
| 6 | SHARED
VOTING POWER See response to row 5. | |
| 7 | SOLE
DISPOSITIVE POWER 10,509,954 shares, of which 10,102,381 shares are directly owned by NTV I and 407,573 shares are directly owned by NTA I. Kolluri is the managing member of NTP I, which is the general partner of NTV I and NTA I. Kolluri may be deemed to have sole power to dispose of these shares. | |
| 8 | SHARED
DISPOSITIVE POWER See response to row 7. |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | 10,509,954 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | 5.5% | |
| 12 | TYPE OF REPORTING PERSON | IN | |
| CUSIP # 42329E105 | Page 6 of 11 |
| ITEM 1(A). | NAME OF ISSUER |
Heliogen, Inc. (the “Issuer”)
| ITEM 1(B). | ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES |
130 W Union St.
Pasadena, CA 91103
| ITEM 2(A). | NAME OF PERSONS FILING |
This Schedule is filed by NeoTribe Ventures I, L.P., a Delaware limited partnership (“NTV I”), NeoTribe Associates I, L.P., a Delaware limited partnership (“NTA I”), NeoTribe Partners I, LLC, a Delaware limited liability company (“NTP I”), and Krishna Kolluri (“Kolluri”). The foregoing entities and individuals are collectively referred to as the “Reporting Persons.”
| ITEM 2(B). | ADDRESS OF PRINCIPAL OFFICE |
The address for each of the Reporting Persons is:
c/o NeoTribe Management Company, LLC
2440 Sand Hill Rd, Suite 302
Menlo Park, CA 94025
| ITEM 2(C). | CITIZENSHIP |
See Row 4 of cover page for each Reporting Person.
| ITEM 2(D). | TITLE OF CLASS OF SECURITIES |
Common Stock, par value $0.0001
| ITEM 2(E) | CUSIP NUMBER |
42329E105
| ITEM 3. | If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: |
Not applicable.
| ITEM 4. | OWNERSHIP |
The following information with respect to the ownership of the Common Stock of the Issuer by the persons filing this Statement is provided as of December 31, 2022:
| CUSIP # 42329E105 | Page 7 of 11 |
| (a) | Amount beneficially owned: | |
| See Row 9 of cover page for each Reporting Person. |
| (b) | Percent of Class: | |
| See Row 11 of cover page for each Reporting Person. |
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: | |
| See Row 5 of cover page for each Reporting Person. |
| (ii) | Shared power to vote or to direct the vote: | |
| See Row 6 of cover page for each Reporting Person. |
| (iii) | Sole power to dispose or to direct the disposition of: | |
| See Row 7 of cover page for each Reporting Person. |
| (iv) | Shared power to dispose or to direct the disposition of: | |
| See Row 8 of cover page for each Reporting Person. |
| ITEM 5. | OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS |
Not applicable.
| ITEM 6. | OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. |
Under certain circumstances set forth in the limited partnership agreements of NTV I and NTA I and the limited liability company agreement of NTP I, the partners or members, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from the sale of, shares of the Issuer directly or indirectly owned by each such entity of which they are a partner or member.
| ITEM 7. | IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY |
Not applicable.
| ITEM 8. | IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. |
Not applicable.
| ITEM 9. | NOTICE OF DISSOLUTION OF GROUP. |
Not applicable.
| CUSIP # 42329E105 | Page 8 of 11 |
| ITEM 10. | CERTIFICATION. |
Not applicable.
| CUSIP # 42329E105 | Page 9 of 11 |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 2, 2023
| NEOTRIBE VENTURES I, L.P. | ||
| By: | NEOTRIBE PARTNERS I, LLC | |
| Its: | General Partner | |
| By: | /s/ Krishna Kolluri | |
| Name: | Krishna Kolluri | |
| Title: | Managing Member | |
| NEOTRIBE ASSOCIATES I, L.P. | ||
| By: | NEOTRIBE PARTNERS I, LLC | |
| Its: | General Partner | |
| By: | /s/ Krishna Kolluri | |
| Name: | Krishna Kolluri | |
| Title: | Managing Member | |
| NEOTRIBE PARTNERS I, LLC | ||
| By: | /s/ Krishna Kolluri | |
| Name: | Krishna Kolluri | |
| Title: | Managing Member | |
| KRISHNA KOLLURI | ||
| By: | /s/ Krishna Kolluri | |
| Name: | Krishna Kolluri | |
| CUSIP # 42329E105 | Page 10 of 11 |
EXHIBIT INDEX
| Found on Sequentially | |
| Exhibit | Numbered Page |
| Exhibit A: Agreement of Joint Filing | 11 |
| CUSIP # 42329E105 | Page 11 of 11 |
exhibit A
Agreement of Joint Filing
The Reporting Persons hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of the Issuer shall be filed on behalf of each of the Reporting Persons. Note that a copy of the applicable Agreement of Joint Filing is already on file with the appropriate agencies.