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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 6/1/21 |
| Not Subject to Section 16: 0 |
| Issuer: |
| Issuer CIK: 849145 |
| Issuer Name: Heritage Global Inc. |
| Issuer Trading Symbol: HGBL |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1628293 |
| | Owner Name: Ludwig David Van |
| Reporting Owner Address: |
| | Owner Street 1: 10 SUNSET HILLS PROFESSIONAL CENTRE |
| | Owner Street 2: |
| | Owner City: EDWARDSVILLE |
| | Owner State: IL |
| | Owner ZIP Code: 62025 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: President of subsidiary |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Option to purchase common stock |
| | Conversion or Exercise Price: |
| | | Value: 2.81 |
| | Transaction Date: |
| | | Value: 6/1/21 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 40,000 |
| | | Transaction Price Per Share: |
| Value: 0.00 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F1 |
| | Expiration Date: |
| | | Value: 6/1/31 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 40,000 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 40,000 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: Options vest 25% annually beginning on the first anniversary of the grant date. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/ David Van Ludwig by James E. Sklar POA |
| Signature Date: 6/2/21 |
