Samuel L. Shimer - Aug 14, 2023 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
Aug 14, 2023
Transactions value $
$0
Form type
4
Date filed
8/15/2023, 10:08 AM
Previous filing
Apr 3, 2023
Next filing
Sep 14, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HGBL Common Stock Options Exercise $2.08K +2.5K +0.88% $0.83 288K Aug 14, 2023 Direct
transaction HGBL Common Stock Options Exercise $1.33K +2.5K +0.88% $0.53* 285K Aug 14, 2023 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 -$2.08K -2.5K -50% $0.83 2.5K Aug 14, 2023 Common Stock 2.5K $0.83 Direct F1
transaction HGBL Option to purchase common stock Options Exercise -$1.33K -2.5K -100% $0.53* 0 Aug 14, 2023 Common Stock 2.5K $0.53 Direct F2
* 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.