0001209191-22-043410.txt : 20220728 0001209191-22-043410.hdr.sgml : 20220728 20220728174449 ACCESSION NUMBER: 0001209191-22-043410 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220726 FILED AS OF DATE: 20220728 DATE AS OF CHANGE: 20220728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHIMER SAMUEL L CENTRAL INDEX KEY: 0001281105 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39471 FILM NUMBER: 221116490 MAIL ADDRESS: STREET 1: C/O HERITAGE GLOBAL INC. STREET 2: 12625 HIGH BLUFF DRIVE, SUITE 305 CITY: SAN DIEGO STATE: CA ZIP: 92130 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 2022-07-26 0 0000849145 Heritage Global Inc. HGBL 0001281105 SHIMER SAMUEL L 12625 HIGH BLUFF DRIVE, SUITE 305 SAN DIEGO CA 92130 1 0 0 0 Common Stock 2022-07-26 4 M 0 5000 0.83 A 242500 D Common Stock 2022-07-26 4 M 0 7500 0.53 A 237500 D Common Stock 2022-07-26 4 M 0 10000 0.40 A 230000 D Common Stock 2022-07-26 4 M 0 10000 0.48 A 220000 D Common Stock 2022-07-26 4 M 0 25000 0.45 A 210000 D Common Stock 2022-07-26 4 M 0 10000 0.24 A 185000 D Option to purchase common stock 0.83 2022-07-26 4 M 0 5000 0.00 D 2030-03-31 Common Stock 5000 5000 D Option to purchase common stock 0.53 2022-07-26 4 M 0 7500 0.00 D 2029-03-29 Common Stock 7500 2500 D Option to purchase common stock 0.40 2022-07-26 4 M 0 10000 0.00 D 2028-03-30 Common Stock 10000 0 D Option to purchase common stock 0.48 2022-07-26 4 M 0 10000 0.00 D 2027-03-31 Common Stock 10000 0 D Option to purchase common stock 0.45 2022-07-26 4 M 0 25000 0.00 D 2026-12-09 Common Stock 25000 0 D Option to purchase common stock 0.24 2022-07-26 4 M 0 10000 0.00 D 2026-03-31 Common Stock 10000 0 D Options were granted 3/31/2020 and vested 25% annually beginning on the first anniversary of the grant date. Options were granted 3/29/2019 and vested 25% annually beginning on the first anniversary of the grant date. Options were granted 3/30/2018 and vested 25% annually beginning on the first anniversary of the grant date. Options were granted 3/31/2017 and vested 25% annually beginning on the first anniversary of the grant date. Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date. Options were granted 3/31/2016 and vested 25% annually beginning on the first anniversary of the grant date. /s/ Samuel L. Shimer by James E. Sklar POA 2022-07-28