Heritage Global Inc. — Director's Dealing 2023

Aug 15, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Heritage Global Inc. (HGBL)
CIK: 0000849145
Period of Report: 2023-08-14

Reporting Person: SHIMER SAMUEL L (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-14	Common Stock	M	2500	$0.83	Acquired	287500	Direct
2023-08-14	Common Stock	M	2500	$0.53	Acquired	285000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-14	Option to purchase common stock	$0.83	M	2500	Disposed	2030-03-31	Common Stock (2500)	Direct
2023-08-14	Option to purchase common stock	$0.53	M	2500	Disposed	2029-03-29	Common Stock (2500)	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.