Ross Dove - May 17, 2021 Form 4 Insider Report for Heritage Global Inc. (HGBL)

Role
CEO, Director
Signature
/s/ Ross Dove by James E. Sklar POA
Stock symbol
HGBL
Transactions as of
May 17, 2021
Transactions value $
-$280,824
Form type
4
Date filed
5/18/2021, 05:51 PM
Next filing
Aug 25, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HGBL Common Stock Options Exercise $146K +325K +17.62% $0.45* 2.17M May 17, 2021 Direct
transaction HGBL Common Stock Tax liability -$427K -145K -6.67% $2.95 2.02M May 17, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HGBL Option to purchase common stock Options Exercise $0 -325K -100% $0.00* 0 May 17, 2021 Common Stock 325K $0.45 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.