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

Role
CEO, Director
Signature
/s/ Ross Dove by James E. Sklar POA
Issuer symbol
HGBL
Transactions as of
17 May 2021
Net transactions value
-$280,824
Form type
4
Filing time
18 May 2021, 17:51:22 UTC
Next filing
25 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HGBL Common Stock Options Exercise $146,250 +325,000 +18% $0.4500* 2,169,085 17 May 2021 Direct
transaction HGBL Common Stock Tax liability $427,074 -144,771 -6.7% $2.95 2,024,314 17 May 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 -325,000 -100% $0.000000* 0 17 May 2021 Common Stock 325,000 $0.4500 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.