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Heritage Global Inc. — Director's Dealing 2021
Apr 6, 2021
34494_dirs_2021-04-05_68e62c6c-7569-46da-8afd-93abdf06adc0.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: 2021-03-30
Reporting Person: Sklar James Edward (EVP, Gen Counsel & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-30 | Common Stock | M | 180000 | $0.45 | Acquired | 330000 | Direct |
| 2021-03-30 | Common Stock | F | 72490 | $2.80 | Disposed | 257510 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-30 | Option to purchase common stock | $0.45 | M | 180000 | Disposed | 2026-12-09 | Common Stock (180000) | 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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