0001209191-21-031774.txt : 20210511
0001209191-21-031774.hdr.sgml : 20210511
20210511172842
ACCESSION NUMBER: 0001209191-21-031774
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210311
FILED AS OF DATE: 20210511
DATE AS OF CHANGE: 20210511
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SILBER ALLAN C
CENTRAL INDEX KEY: 0001009161
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39471
FILM NUMBER: 21912612
MAIL ADDRESS:
STREET 1: C/O COUNSEL CORPORATION
STREET 2: 700 - 1 TORONTO ST.
CITY: TORONTO
STATE: A6
ZIP: M5C 2V6
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Heritage Global Inc.
CENTRAL INDEX KEY: 0000849145
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 592291344
STATE OF INCORPORATION: FL
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 12625 HIGH BLUFF DRIVE
STREET 2: SUITE 305
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: 858-847-0655
MAIL ADDRESS:
STREET 1: 12625 HIGH BLUFF DRIVE
STREET 2: SUITE 305
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
FORMER COMPANY:
FORMER CONFORMED NAME: Counsel RB Capital Inc.
DATE OF NAME CHANGE: 20110121
FORMER COMPANY:
FORMER CONFORMED NAME: C2 Global Technologies Inc
DATE OF NAME CHANGE: 20050812
FORMER COMPANY:
FORMER CONFORMED NAME: ACCERIS COMMUNICATIONS INC
DATE OF NAME CHANGE: 20040220
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-03-11
0
0000849145
Heritage Global Inc.
HGBL
0001009161
SILBER ALLAN C
12625 HIGH BLUFF DRIVE, SUITE 305
SAN DIEGO
CA
92130
0
0
1
0
Common Stock
2021-03-11
4
S
0
44874
3.00
D
329599
D
Common Stock
2021-03-12
4
S
0
17640
3.00
D
311959
D
Common Stock
2021-03-24
4
M
0
10000
0.83
A
321959
D
Common Stock
2021-03-24
4
M
0
10000
0.53
A
331959
D
Common Stock
2021-03-24
4
M
0
10000
0.40
A
341959
D
Common Stock
2021-03-24
4
M
0
10000
0.48
A
351959
D
Common Stock
2021-03-24
4
M
0
25000
0.45
A
376959
D
Common Stock
2021-03-24
4
M
0
10000
0.24
A
386959
D
Common Stock
2021-03-24
4
F
0
12262
2.94
D
374697
D
Common Stock
2021-03-17
4
S
0
50000
2.94
D
4051686
I
Anglian Holdings, LLC
Common Stock
2021-03-18
4
S
0
43172
2.98
D
4008514
I
Anglian Holdings, LLC
Common Stock
2021-03-19
4
S
0
35652
2.96
D
3972862
I
Anglian Holdings, LLC
Common Stock
2021-03-22
4
S
0
250000
2.99
D
3722862
I
Anglian Holdings, LLC
Common Stock
2021-03-23
4
S
0
13800
2.99
D
3709062
I
Anglian Holdings, LLC
Common Stock
2021-03-24
4
S
0
1200
2.97
D
3707862
I
Anglian Holdings, LLC
Common Stock
2021-03-25
4
S
0
50000
2.92
D
3657862
I
Anglian Holdings, LLC
Common Stock
2021-03-26
4
S
0
28679
2.95
D
3629183
I
Anglian Holdings, LLC
Common Stock
2021-03-29
4
S
0
1505
2.95
D
3627678
I
Anglian Holdings, LLC
Common Stock
2021-04-01
4
S
0
11020
2.95
D
3616658
I
Anglian Holdings, LLC
Common Stock
2021-04-05
4
S
0
9033
3.00
D
3607625
I
Anglian Holdings, LLC
Common Stock
2021-04-06
4
S
0
2928
3.00
D
3604697
I
Anglian Holdings, LLC
Common Stock
2021-04-07
4
S
0
17590
3.00
D
3587107
I
Anglian Holdings, LLC
Common Stock
2021-04-08
4
S
0
24400
3.00
D
3562707
I
Anglian Holdings, LLC
Common Stock
2021-04-09
4
S
0
100
3.00
D
3562607
I
Anglian Holdings, LLC
Common Stock
47968
I
By spouse
Employee Stock Option (right to buy)
0.83
2021-03-24
4
M
0
10000
0.00
D
2030-03-31
Common Stock
10000
0
D
Employee Stock Option (right to buy)
0.53
2021-03-24
4
M
0
10000
0.00
D
2029-03-29
Common Stock
10000
0
D
Employee Stock Option (right to buy)
0.40
2021-03-24
4
M
0
10000
0.00
D
2028-03-30
Common Stock
10000
0
D
Employee Stock Option (right to buy)
0.48
2021-03-24
4
M
0
10000
0.00
D
2027-03-31
Common Stock
10000
0
D
Employee Stock Option (right to buy)
0.45
2021-03-24
4
M
0
25000
0.00
D
2026-12-09
Common Stock
25000
0
D
Employee Stock Option (right to buy)
0.24
2021-03-24
4
M
0
10000
0.00
D
2026-03-31
Common Stock
10000
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.03, inclusive. The reporting person undertakes to provide to Heritage Global Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (3), (5), (6), (7), (8), (9), (10), (11), (12) and (13) to this Form 4.
This amount reflects certain shares held by the reporting person directly that were not previously reported.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.93 to $2.95, inclusive.
Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.00, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.99, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.97 to $3.04, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.01, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.96 to $2.98, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.90 to $2.99, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.97, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.96, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.02, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.01, inclusive.
The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.
/s/ Allan C. Silber
2021-05-11