Form 4 for HGBL Heritage Global Inc.
Accepted 2022-07-28 00:00:00 ET · period of report 2022-07-26 · accession 0001209191-22-043410 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-07-28 | 2022-07-26 | HGBL | SHIMER SAMUEL L | Dir | M - OptEx | $0.453 | +67.5K | 242.5K | +39% | +$30.6K |
| DM | 2022-07-28 | 2022-07-26 | HGBL | SHIMER SAMUEL L | Dir | M - OptEx | $0.00 | -67.5K | 5,000 | -93% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-07-26 | M | A | 10,000 | $0.24 | 185,000 | D | — | — | |
| 2 | Common | Common Stock | 2022-07-26 | M | A | 25,000 | $0.45 | 210,000 | D | — | — | |
| 3 | Common | Common Stock | 2022-07-26 | M | A | 7,500 | $0.53 | 237,500 | D | — | — | |
| 4 | Common | Common Stock | 2022-07-26 | M | A | 10,000 | $0.48 | 220,000 | D | — | — | |
| 5 | Common | Common Stock | 2022-07-26 | M | A | 10,000 | $0.4 | 230,000 | D | — | — | |
| 6 | Common | Common Stock | 2022-07-26 | M | A | 5,000 | $0.83 | 242,500 | D | — | — | |
| 7 | Derivative | Option to purchase common stock | 2022-07-26 | M | D | 25,000 | $0.00 | 0 | D | $0.45 · — to 2026-12-09 | 25,000 Common Stock | (F5) Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date. |
| 8 | Derivative | Option to purchase common stock | 2022-07-26 | M | D | 10,000 | $0.00 | 0 | D | $0.48 · — to 2027-03-31 | 10,000 Common Stock | (F4) Options were granted 3/31/2017 and vested 25% annually beginning on the first anniversary of the grant date. |
| 9 | Derivative | Option to purchase common stock | 2022-07-26 | M | D | 10,000 | $0.00 | 0 | D | $0.4 · — to 2028-03-30 | 10,000 Common Stock | (F3) Options were granted 3/30/2018 and vested 25% annually beginning on the first anniversary of the grant date. |
| 10 | Derivative | Option to purchase common stock | 2022-07-26 | M | D | 7,500 | $0.00 | 2,500 | D | $0.53 · — to 2029-03-29 | 7,500 Common Stock | (F2) Options were granted 3/29/2019 and vested 25% annually beginning on the first anniversary of the grant date. |
| 11 | Derivative | Option to purchase common stock | 2022-07-26 | M | D | 10,000 | $0.00 | 0 | D | $0.24 · — to 2026-03-31 | 10,000 Common Stock | (F6) Options were granted 3/31/2016 and vested 25% annually beginning on the first anniversary of the grant date. |
| 12 | Derivative | Option to purchase common stock | 2022-07-26 | M | D | 5,000 | $0.00 | 5,000 | D | $0.83 · — to 2030-03-31 | 5,000 Common Stock | (F1) Options were granted 3/31/2020 and vested 25% annually beginning on the first anniversary of the grant date. |