SAMUEL L. SHIMER - 14 Aug 2023 Form 4 Insider Report for Heritage Global Inc. (HGBL)

Role
Director
Signature
/s/ Samuel L. Shimer by James E. Sklar POA
Issuer symbol
HGBL
Transactions as of
14 Aug 2023
Net transactions value
$0
Form type
4
Filing time
15 Aug 2023, 10:08:09 UTC
Previous filing
03 Apr 2023
Next filing
14 Sep 2023
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 $2,075 +2,500 +0.88% $0.8300 287,500 14 Aug 2023 Direct
transaction HGBL Common Stock Options Exercise $1,325 +2,500 +0.88% $0.5300* 285,000 14 Aug 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 $2,075 -2,500 -50% $0.8300 2,500 14 Aug 2023 Common Stock 2,500 $0.8300 Direct F1
transaction HGBL Option to purchase common stock Options Exercise $1,325 -2,500 -100% $0.5300* 0 14 Aug 2023 Common Stock 2,500 $0.5300 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.