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Heritage Global Inc. — Director's Dealing 2021
May 18, 2021
34494_dirs_2021-05-18_fee53a8b-3e38-4357-a3fe-2b5bcf5a37d1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Heritage Global Inc. (HGBL)
CIK: 0000849145
Period of Report: 2021-05-17
Reporting Person: DOVE ROSS (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-17 | Common Stock | M | 325000 | $0.45 | Acquired | 2169085 | Direct |
| 2021-05-17 | Common Stock | F | 144771 | $2.95 | Disposed | 2024314 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-17 | Option to purchase common stock | $0.45 | M | 325000 | Disposed | 2026-12-09 | Common Stock (325000) | Direct |
Footnotes
F1: Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.
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