SEC Form 4 · accession 0001062993-17-000020
Heritage Global Inc. · HGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan C Silber
Director · 10% Owner
Period of report
Dec 30, 2016
Accepted (ET)
Jan 3, 2017 · 6:12 pm EST
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 | Dec 30, 2016 | P | 2,928,462 | $0.49 | A | 4,413,645 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 4,101,686 shares of Common Stock, 2,928,462 of which are reported herein, which are held of record by a Limited Liability Corporation that is described in Footnote 2, and 311,959 shares of Common Stock previously acquired by the reporting person which are held directly by Mr. Silber.
- F2The 2,928,462 shares of Common Stock reported herein were acquired by a Limited Liability Corporation solely owned by Mr. Silber. The Limited Liability Corporation also acquired 731,224 shares of Common Stock previously acquired by the reporting person which had been held directly by Mr. Silber.