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