Samuel L. Shimer - Jul 26, 2022 Form 4 Insider Report for Heritage Global Inc. (HGBL)

Role
Director
Signature
/s/ Samuel L. Shimer by James E. Sklar POA
Stock symbol
HGBL
Transactions as of
Jul 26, 2022
Transactions value $
$30,575
Form type
4
Date filed
7/28/2022, 05:44 PM
Previous filing
May 27, 2022
Next filing
Aug 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HGBL Common Stock Options Exercise $4.15K +5K +2.11% $0.83 243K Jul 26, 2022 Direct
transaction HGBL Common Stock Options Exercise $3.98K +7.5K +3.26% $0.53* 238K Jul 26, 2022 Direct
transaction HGBL Common Stock Options Exercise $4K +10K +4.55% $0.40* 230K Jul 26, 2022 Direct
transaction HGBL Common Stock Options Exercise $4.8K +10K +4.76% $0.48* 220K Jul 26, 2022 Direct
transaction HGBL Common Stock Options Exercise $11.3K +25K +13.51% $0.45* 210K Jul 26, 2022 Direct
transaction HGBL Common Stock Options Exercise $2.4K +10K +5.71% $0.24* 185K Jul 26, 2022 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 -5K -50% $0.00 5K Jul 26, 2022 Common Stock 5K $0.83 Direct F1
transaction HGBL Option to purchase common stock Options Exercise $0 -7.5K -75% $0.00 2.5K Jul 26, 2022 Common Stock 7.5K $0.53 Direct F2
transaction HGBL Option to purchase common stock Options Exercise $0 -10K -100% $0.00* 0 Jul 26, 2022 Common Stock 10K $0.40 Direct F3
transaction HGBL Option to purchase common stock Options Exercise $0 -10K -100% $0.00* 0 Jul 26, 2022 Common Stock 10K $0.48 Direct F4
transaction HGBL Option to purchase common stock Options Exercise $0 -25K -100% $0.00* 0 Jul 26, 2022 Common Stock 25K $0.45 Direct F5
transaction HGBL Option to purchase common stock Options Exercise $0 -10K -100% $0.00* 0 Jul 26, 2022 Common Stock 10K $0.24 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Options were granted 3/31/2020 and vested 25% annually beginning on the first anniversary of the grant date.
F2 Options were granted 3/29/2019 and vested 25% annually beginning on the first anniversary of the grant date.
F3 Options were granted 3/30/2018 and vested 25% annually beginning on the first anniversary of the grant date.
F4 Options were granted 3/31/2017 and vested 25% annually beginning on the first anniversary of the grant date.
F5 Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.
F6 Options were granted 3/31/2016 and vested 25% annually beginning on the first anniversary of the grant date.