SEC Form 4 · accession 0001062993-17-001559
Heritage Global Inc. · HGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel L Shimer
Director
Period of report
Mar 28, 2017
Accepted (ET)
Mar 30, 2017 · 11:42 am 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 Stock | Mar 28, 2017 | M | 10,000 | $0.08 | A | 113,389 | D |
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 | $0.08 | Mar 28, 2017 | M | 10,000 | D | — | Mar 29, 2017 | Common stock | 10,000 | 85,000 | D |
Explanation of responses
- F1Options were granted 3/31/2010 and vested 25% annually beginning on the first anniversary of the grant date.