0001792549-20-000003.txt : 20201006
0001792549-20-000003.hdr.sgml : 20201006
20201006181109
ACCESSION NUMBER: 0001792549-20-000003
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201002
FILED AS OF DATE: 20201006
DATE AS OF CHANGE: 20201006
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Topline Capital Management, LLC
CENTRAL INDEX KEY: 0001792549
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39471
FILM NUMBER: 201227723
BUSINESS ADDRESS:
STREET 1: 2913 3RD STREET
STREET 2: UNIT 201
CITY: SANTA MONICA
STATE: CA
ZIP: 90405
BUSINESS PHONE: 310.804.0737
MAIL ADDRESS:
STREET 1: 2913 3RD STREET
STREET 2: UNIT 201
CITY: SANTA MONICA
STATE: CA
ZIP: 90405
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McBirney Collin
CENTRAL INDEX KEY: 0001792547
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39471
FILM NUMBER: 201227724
MAIL ADDRESS:
STREET 1: 2913 3RD STREET
STREET 2: UNIT 201
CITY: SANTA MONICA
STATE: CA
ZIP: 90405
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
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2020-10-02
0
0000849145
Heritage Global Inc.
HGBL
0001792549
Topline Capital Management, LLC
2913 3RD STREET
UNIT 201
SANTA MONICA
CA
90405
0
0
0
1
See Explanation in Footnotes
0001792547
McBirney Collin
2913 3RD STREET
UNIT 201
SANTA MONICA
CA
90405
0
0
0
1
See Explanation in Footnotes
Common Stock
2020-10-02
4
P
0
800000
1.75
A
4311063
I
By Topline Capital Partners, LP
Common Stock
2020-10-02
4
P
0
48937
1.82
A
4360000
I
By Topline Capital Partners, LP
Common Stock
2020-10-05
4
P
0
27708
1.86
A
4387708
I
By Topline Capital Partners, LP
Common Stock
2020-10-06
4
P
0
32292
1.91
A
4420000
I
By Topline Capital Partners, LP
The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.
Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.
Topline Capital Management, LLC, By: Collin McBirney, its Managing Member
2020-10-06
Collin McBirney
2020-10-06