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