SEC Form 4 · accession 0001062993-16-008471
Heritage Global Inc. · HGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirk Dove
Officer — President and COO
Period of report
Mar 22, 2016
Accepted (ET)
Mar 23, 2016 · 4:29 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 | Mar 22, 2016 | P | 100,000 | $0.14 | A | 1,033,200 | I | Dove Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 527,500 shares of Common Stock, 100,000 of which are reported herein, which are held of record by the Dove Family Trust that is described in Footnote 2, and 505,700 shares of Common Stock previously acquired by the reporting person, which are held directly by Mr. Dove.
- F2The Dove Family Trust is jointly controlled by the reporting person, Mr. Kirk Dove, and by another reporting person of Heritage Global Inc., Mr. Ross Dove, who are co-trustees and remainder beneficiaries of the Dove Family Trust. The Dove Family Trust has acquired a total of 1,055,000 shares of Common Stock, of which 200,000 were acquired on March 22, 2016.