SEC Form 4 · accession 0001062993-16-012676
Heritage Global Inc. · HGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth William Mann
Officer — Snr Managing Director, EP
Period of report
Dec 9, 2016
Accepted (ET)
Dec 12, 2016 · 7:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000849145
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase common stockF1 | $0.45 | Dec 9, 2016 | A | 300,000 | A | — | Dec 9, 2026 | Common Stock | 300,000 | 650,000 | D |
Explanation of responses
- F1Options vest 25% annually beginning on the first anniversary of the grant date.