---
schema_version: "secwatch.filing_event.v1"
accession: "0001840292-23-000040"
form_type: "8-K"
ticker: null
cik: "0001840292"
company_name: "Heliogen, Inc."
filed_at: "2023-11-07T23:59:59+00:00"
generated_at: "2026-06-08T17:20:00.742640+00:00"
event_type: "other_material"
sentiment: "negative"
materiality_score: 0.8
calibrated_materiality_score: 0.8
confidence: "high"
source: SEC EDGAR
---

# Heliogen receives NYSE delisting notice; trading suspended, OTC trading begins Nov 8

## Summary
- NYSE determined to delist common stock (HLGN) and warrants (HLGN.W) due to average global market cap below $15M over 30 trading days.
- Trading suspended immediately; Company intends to appeal the NYSE's delisting determination.
- Common stock and warrants expected to begin OTC trading on Nov 8 under symbols HLGN and HLGNW.
- Company has applied for OTCQX quotation for common stock and, if eligible, warrants.
- CEO Christie Obiaya expressed confidence in growth strategy and strong cash position.

## SEC filing metadata
- accession: 0001840292-23-000040
- form_type: 8-K
- cik: 0001840292
- company_name: Heliogen, Inc.
- filed_at: 2023-11-07T23:59:59+00:00
- event_type: other_material
- sentiment: negative
- materiality_score: 0.8
- calibrated_materiality_score: 0.8
- confidence: high
- sec_items: 3.01, 7.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1840292/000184029223000040/0001840292-23-000040-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1840292/000184029223000040/hlg-20231107.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001840292-23-000040
- JSON: https://secwatch.observer/filing/0001840292-23-000040.json
- Plain text: https://secwatch.observer/filing/0001840292-23-000040.txt

## Key facts
- Listing & Compliance Notices
  Heliogen, Inc. received a nyse delisting notice notice regarding market value (rules 802.01B).
  - Exchange: nyse
  - Notice: delisting notice
  - Deficiency: market value
  - Rules: 802.01B
  source text: November 7, 2023, Heliogen, Inc. (the “Company”) received a letter from the staff of New York Stock Exchange (“NYSE”) Regulation notifying the Company that it had determined to commence proceedings to delist the Company’s common stock (NYSE: HLGN) and the Company’s public warrants to purchase common stock (NYSE: HLGN.W) from the NYSE. Trading in these securities was immediately suspended. The NYSE Regulation reached its decision to delist these securities pursuant to Section 802.01B of the NYSE’s Listed Company Manual because the Company had fallen below the NYSE’s continued listing standard r
  evidence_url: https://www.sec.gov/Archives/edgar/data/1840292/000184029223000040/0001840292-23-000040-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.