Filing Details
- Accession Number:
- 0001209191-21-031774
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-11 13:00:00
- Reporting Period:
- 2021-03-11
- Accepted Time:
- 2021-05-11 17:28:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 849145 | Heritage Global Inc. | HGBL | () |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1009161 | C Allan Silber | 12625 High Bluff Drive, Suite 305 San Diego CA 92130 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2021-03-11 | 44,874 | $3.00 | 329,599 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-12 | 17,640 | $3.00 | 311,959 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-24 | 10,000 | $0.83 | 321,959 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-24 | 10,000 | $0.53 | 331,959 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-24 | 10,000 | $0.40 | 341,959 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-24 | 10,000 | $0.48 | 351,959 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-24 | 25,000 | $0.45 | 376,959 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-24 | 10,000 | $0.24 | 386,959 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-24 | 12,262 | $2.94 | 374,697 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2021-03-17 | 50,000 | $2.94 | 4,051,686 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-18 | 43,172 | $2.98 | 4,008,514 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-19 | 35,652 | $2.96 | 3,972,862 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-22 | 250,000 | $2.99 | 3,722,862 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-23 | 13,800 | $2.99 | 3,709,062 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-24 | 1,200 | $2.97 | 3,707,862 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-25 | 50,000 | $2.92 | 3,657,862 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-26 | 28,679 | $2.95 | 3,629,183 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-03-29 | 1,505 | $2.95 | 3,627,678 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-04-01 | 11,020 | $2.95 | 3,616,658 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-04-05 | 9,033 | $3.00 | 3,607,625 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-04-06 | 2,928 | $3.00 | 3,604,697 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-04-07 | 17,590 | $3.00 | 3,587,107 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-04-08 | 24,400 | $3.00 | 3,562,707 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Common Stock | Disposition | 2021-04-09 | 100 | $3.00 | 3,562,607 | No | 4 | S | Indirect | Anglian Holdings, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
| No | 4 | S | Indirect | Anglian Holdings, LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-24 | 10,000 | $0.00 | 10,000 | $0.83 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-24 | 10,000 | $0.00 | 10,000 | $0.53 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-24 | 10,000 | $0.00 | 10,000 | $0.40 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-24 | 10,000 | $0.00 | 10,000 | $0.48 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-24 | 25,000 | $0.00 | 25,000 | $0.45 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-24 | 10,000 | $0.00 | 10,000 | $0.24 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2030-03-31 | No | 4 | M | Direct | |
| 0 | 2029-03-29 | No | 4 | M | Direct | |
| 0 | 2028-03-30 | No | 4 | M | Direct | |
| 0 | 2027-03-31 | No | 4 | M | Direct | |
| 0 | 2026-12-09 | No | 4 | M | Direct | |
| 0 | 2026-03-31 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 47,968 | Indirect | By spouse |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.03, inclusive. The reporting person undertakes to provide to Heritage Global Inc. (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 ranges set forth in footnotes (1), (3), (5), (6), (7), (8), (9), (10), (11), (12) and (13) to this Form 4.
- This amount reflects certain shares held by the reporting person directly that were not previously reported.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.93 to $2.95, inclusive.
- Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.00, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.99, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.97 to $3.04, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.01, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.96 to $2.98, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.90 to $2.99, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.97, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.96, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.02, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.01, inclusive.
- The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.
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