AI assistant
Heritage Global Inc. — Director's Dealing 2022
Jul 28, 2022
34494_dirs_2022-07-28_d4db3b97-0d3d-4cd3-9011-05ba39bd1792.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Heritage Global Inc. (HGBL)
CIK: 0000849145
Period of Report: 2022-07-26
Reporting Person: SHIMER SAMUEL L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-07-26 | Common Stock | M | 5000 | $0.83 | Acquired | 242500 | Direct |
| 2022-07-26 | Common Stock | M | 7500 | $0.53 | Acquired | 237500 | Direct |
| 2022-07-26 | Common Stock | M | 10000 | $0.40 | Acquired | 230000 | Direct |
| 2022-07-26 | Common Stock | M | 10000 | $0.48 | Acquired | 220000 | Direct |
| 2022-07-26 | Common Stock | M | 25000 | $0.45 | Acquired | 210000 | Direct |
| 2022-07-26 | Common Stock | M | 10000 | $0.24 | Acquired | 185000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-07-26 | Option to purchase common stock | $0.83 | M | 5000 | Disposed | 2030-03-31 | Common Stock (5000) | Direct |
| 2022-07-26 | Option to purchase common stock | $0.53 | M | 7500 | Disposed | 2029-03-29 | Common Stock (7500) | Direct |
| 2022-07-26 | Option to purchase common stock | $0.40 | M | 10000 | Disposed | 2028-03-30 | Common Stock (10000) | Direct |
| 2022-07-26 | Option to purchase common stock | $0.48 | M | 10000 | Disposed | 2027-03-31 | Common Stock (10000) | Direct |
| 2022-07-26 | Option to purchase common stock | $0.45 | M | 25000 | Disposed | 2026-12-09 | Common Stock (25000) | Direct |
| 2022-07-26 | Option to purchase common stock | $0.24 | M | 10000 | Disposed | 2026-03-31 | Common Stock (10000) | Direct |
Footnotes
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.