SEC Form 4 · accession 0001062993-15-003170
Heritage Global Inc. · HGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ross Dove
Officer — CEO
Period of report
May 28, 2015
Accepted (ET)
Jun 1, 2015 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000849145
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 28, 2015 | P | 160,000 | $0.36 | A | 927,500 | I | Dove Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 427,500 shares of Common Stock, 160,000 of which are reported herein, which are held of record by the Dove Family Trust that is described Footnote 2, and 500,000 shares of Common Stock previously reported for the reporting person, which are held directly by Mr. Dove.
- F2The Dove Family Trust is jointly controlled by the reporting person, Mr. Ross Dove, and by another reporting person of Heritage Global Inc., Mr. Kirk Dove, who are co-trustees and remainder beneficiaries of the Dove Family Trust. The Dove Family Trust has acquired a total of 855,000 shares of Common Stock, of which 320,000 were acquired on May 28, 2015.