SHIMER SAMUEL L 4

4 · Heritage Global Inc. · Filed Jul 28, 2022

Form 4

Period: 2022-07-26

Director

Transactions

Exercise/Conversion
Option to purchase common stock
2022-07-26−5,000→ 5,000 total
Exercise: $0.83Exp: 2030-03-31→ Common Stock (5,000 underlying)
Exercise/Conversion
Common Stock
2022-07-26$0.40/sh+10,000$4,000→ 230,000 total
Exercise/Conversion
Common Stock
2022-07-26$0.83/sh+5,000$4,150→ 242,500 total
Exercise/Conversion
Common Stock
2022-07-26$0.53/sh+7,500$3,975→ 237,500 total
Exercise/Conversion
Common Stock
2022-07-26$0.45/sh+25,000$11,250→ 210,000 total
Exercise/Conversion
Option to purchase common stock
2022-07-26−25,000→ 0 total
Exercise: $0.45Exp: 2026-12-09→ Common Stock (25,000 underlying)
Exercise/Conversion
Common Stock
2022-07-26$0.24/sh+10,000$2,400→ 185,000 total
Exercise/Conversion
Option to purchase common stock
2022-07-26−7,500→ 2,500 total
Exercise: $0.53Exp: 2029-03-29→ Common Stock (7,500 underlying)
Exercise/Conversion
Common Stock
2022-07-26$0.48/sh+10,000$4,800→ 220,000 total
Exercise/Conversion
Option to purchase common stock
2022-07-26−10,000→ 0 total
Exercise: $0.40Exp: 2028-03-30→ Common Stock (10,000 underlying)
Exercise/Conversion
Option to purchase common stock
2022-07-26−10,000→ 0 total
Exercise: $0.48Exp: 2027-03-31→ Common Stock (10,000 underlying)
Exercise/Conversion
Option to purchase common stock
2022-07-26−10,000→ 0 total
Exercise: $0.24Exp: 2026-03-31→ Common Stock (10,000 underlying)

Footnotes (6)

[F1]Options were granted 3/31/2020 and vested 25% annually beginning on the first anniversary of the grant date.
[F2]Options were granted 3/29/2019 and vested 25% annually beginning on the first anniversary of the grant date.
[F3]Options were granted 3/30/2018 and vested 25% annually beginning on the first anniversary of the grant date.
[F4]Options were granted 3/31/2017 and vested 25% annually beginning on the first anniversary of the grant date.
[F5]Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.
[F6]Options were granted 3/31/2016 and vested 25% annually beginning on the first anniversary of the grant date.

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