| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HGBL | Common Stock | Sale | $134,622 | -44,874 | -12% | $3.00 | 329,599 | 11 Mar 2021 | Direct | F1, F2 |
| transaction | HGBL | Common Stock | Sale | $52,920 | -17,640 | -5.4% | $3.00 | 311,959 | 12 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Options Exercise | $8,300 | +10,000 | +3.2% | $0.8300* | 321,959 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Options Exercise | $5,300 | +10,000 | +3.1% | $0.5300* | 331,959 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Options Exercise | $4,000 | +10,000 | +3% | $0.4000* | 341,959 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Options Exercise | $4,800 | +10,000 | +2.9% | $0.4800* | 351,959 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Options Exercise | $11,250 | +25,000 | +7.1% | $0.4500* | 376,959 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Options Exercise | $2,400 | +10,000 | +2.7% | $0.2400* | 386,959 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Tax liability | $36,050 | -12,262 | -3.2% | $2.94 | 374,697 | 24 Mar 2021 | Direct | |
| transaction | HGBL | Common Stock | Sale | $147,000 | -50,000 | -1.2% | $2.94 | 4,051,686 | 17 Mar 2021 | Anglian Holdings, LLC | F3, F4 |
| transaction | HGBL | Common Stock | Sale | $128,653 | -43,172 | -1.1% | $2.98 | 4,008,514 | 18 Mar 2021 | Anglian Holdings, LLC | F4, F5 |
| transaction | HGBL | Common Stock | Sale | $105,530 | -35,652 | -0.89% | $2.96 | 3,972,862 | 19 Mar 2021 | Anglian Holdings, LLC | F4, F6 |
| transaction | HGBL | Common Stock | Sale | $747,500 | -250,000 | -6.3% | $2.99 | 3,722,862 | 22 Mar 2021 | Anglian Holdings, LLC | F4, F7 |
| transaction | HGBL | Common Stock | Sale | $41,262 | -13,800 | -0.37% | $2.99 | 3,709,062 | 23 Mar 2021 | Anglian Holdings, LLC | F4, F8 |
| transaction | HGBL | Common Stock | Sale | $3,564 | -1,200 | -0.03% | $2.97 | 3,707,862 | 24 Mar 2021 | Anglian Holdings, LLC | F4, F9 |
| transaction | HGBL | Common Stock | Sale | $146,000 | -50,000 | -1.3% | $2.92 | 3,657,862 | 25 Mar 2021 | Anglian Holdings, LLC | F4, F10 |
| transaction | HGBL | Common Stock | Sale | $84,603 | -28,679 | -0.78% | $2.95 | 3,629,183 | 26 Mar 2021 | Anglian Holdings, LLC | F4, F11 |
| transaction | HGBL | Common Stock | Sale | $4,440 | -1,505 | -0.04% | $2.95 | 3,627,678 | 29 Mar 2021 | Anglian Holdings, LLC | F4 |
| transaction | HGBL | Common Stock | Sale | $32,509 | -11,020 | -0.3% | $2.95 | 3,616,658 | 01 Apr 2021 | Anglian Holdings, LLC | F4, F12 |
| transaction | HGBL | Common Stock | Sale | $27,099 | -9,033 | -0.25% | $3.00 | 3,607,625 | 05 Apr 2021 | Anglian Holdings, LLC | F4, F13 |
| transaction | HGBL | Common Stock | Sale | $8,784 | -2,928 | -0.08% | $3.00 | 3,604,697 | 06 Apr 2021 | Anglian Holdings, LLC | F4 |
| transaction | HGBL | Common Stock | Sale | $52,770 | -17,590 | -0.49% | $3.00 | 3,587,107 | 07 Apr 2021 | Anglian Holdings, LLC | F4 |
| transaction | HGBL | Common Stock | Sale | $73,200 | -24,400 | -0.68% | $3.00 | 3,562,707 | 08 Apr 2021 | Anglian Holdings, LLC | F4, F14 |
| transaction | HGBL | Common Stock | Sale | $300 | -100 | -0% | $3.00 | 3,562,607 | 09 Apr 2021 | Anglian Holdings, LLC | F4 |
| holding | HGBL | Common Stock | 47,968 | 11 Mar 2021 | By spouse | F15 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HGBL | Employee Stock Option (right to buy) | Options Exercise | $0 | -10,000 | -100% | $0.000000* | 0 | 24 Mar 2021 | Common Stock | 10,000 | $0.8300 | Direct | F16 |
| transaction | HGBL | Employee Stock Option (right to buy) | Options Exercise | $0 | -10,000 | -100% | $0.000000* | 0 | 24 Mar 2021 | Common Stock | 10,000 | $0.5300 | Direct | F16 |
| transaction | HGBL | Employee Stock Option (right to buy) | Options Exercise | $0 | -10,000 | -100% | $0.000000* | 0 | 24 Mar 2021 | Common Stock | 10,000 | $0.4000 | Direct | F16 |
| transaction | HGBL | Employee Stock Option (right to buy) | Options Exercise | $0 | -10,000 | -100% | $0.000000* | 0 | 24 Mar 2021 | Common Stock | 10,000 | $0.4800 | Direct | F16 |
| transaction | HGBL | Employee Stock Option (right to buy) | Options Exercise | $0 | -25,000 | -100% | $0.000000* | 0 | 24 Mar 2021 | Common Stock | 25,000 | $0.4500 | Direct | F16 |
| transaction | HGBL | Employee Stock Option (right to buy) | Options Exercise | $0 | -10,000 | -100% | $0.000000* | 0 | 24 Mar 2021 | Common Stock | 10,000 | $0.2400 | Direct | F16 |
| Id | Content |
|---|---|
| F1 | 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. |
| F2 | This amount reflects certain shares held by the reporting person directly that were not previously reported. |
| F3 | 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. |
| F4 | Anglian Holdings, LLC is a limited liability company solely owned by the reporting person. |
| F5 | 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. |
| F6 | 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. |
| F7 | 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. |
| F8 | 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. |
| F9 | 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. |
| F10 | 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. |
| F11 | 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. |
| F12 | 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. |
| F13 | 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. |
| F14 | 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. |
| F15 | 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. |
| F16 | 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. |