Podstawowe statystyki
| CIK | 849145 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Heritage Global Inc.
SEC Filings (Chronological Order)
Na tej stronie znajduje się pełna, chronologiczna lista zgłoszeń SEC, z wyłączeniem zgłoszeń własności, które udostępniamy gdzie indziej.
| June 4, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 3, 2026 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission File N |
|
| May 7, 2026 |
Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made effective as of January 9, 2026 (the “Effective Date”) by and between Heritage DebtX LLC, a Delaware limited liability company (the “Company”), and Bruce Hounsell (“Executive”). Capitalized terms used but not otherwise defined herein shall have the meaning assigned to such terms in Section 6 hereof. RECITALS WHE |
|
| May 7, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| May 7, 2026 |
Exhibit 10.1 ASSET PURCHASE AGREEMENT BY AND AMONG HERITAGE DEBTX LLC, AND THE DEBT EXCHANGE, INC. DATED AS OF JANUARY 9, 2026 TABLE OF CONTENTS Article I. DEFINITIONS 1 1.1 Certain Definitions 1 1.2 Table of Defined Terms 7 Article II. PURCHASE AND SALE 9 2.1 Purchase and Sale of Assets 9 2.2 Assumption of Liabilities 10 2.3 Closing 11 2.4 Closing Payments; Actions and Deliveries 11 2.5 Post-Refe |
|
| April 21, 2026 |
2025 ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
|
| April 21, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statemen |
|
| April 21, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒Definitive Proxy Statemen |
|
| March 12, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact N |
|
| March 12, 2026 |
List of Subsidiaries of the Registrant Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation Heritage Global LLC Delaware Heritage ALT LLC Delaware HG ALT LLC Connecticut Heritage Global Partners, Inc. |
|
| January 12, 2026 |
Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made effective as of January 9, 2026 (the “Effective Date”) by and between Heritage DebtX LLC, a Delaware limited liability company (the “Company”), and Bruce Hounsell (“Executive”). Capitalized terms used but not otherwise defined herein shall have the meaning assigned to such terms in Section 6 hereof. RECITALS WHE |
|
| January 12, 2026 |
Exhibit 10.1 ASSET PURCHASE AGREEMENT BY AND AMONG HERITAGE DEBTX LLC, AND THE DEBT EXCHANGE, INC. DATED AS OF JANUARY 9, 2026 TABLE OF CONTENTS Article I. DEFINITIONS 1 1.1 Certain Definitions 1 1.2 Table of Defined Terms 7 Article II. PURCHASE AND SALE 9 2.1 Purchase and Sale of Assets 9 2.2 Assumption of Liabilities 10 2.3 Closing 11 2.4 Closing Payments; Actions and Deliveries 11 2.5 Post-Refe |
|
| January 12, 2026 |
Exhibit 99.1 Heritage Global Inc. Acquires THE Debt Exchange, Inc. (DebtX) Expands Financial Assets division with acquisition of a leading loan-sale and valuation platform SAN DIEGO, California (January 12, 2026) – Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HG” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today announced th |
|
| January 12, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 09, 2026 Heritage Global Inc. (Exact name of Registrant as Specified in Its Charter) Florida 001-39471 59-2291344 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| November 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL |
|
| October 1, 2025 |
144 0001641547 XXXXXXXX LIVE 0000849145 HERITAGE GLOBAL INC. 001-39471 12625 High Bluff Drive, Suite 305 San Diego CA 92130 (858)847-0659 JAMES SKLAR Officer Common Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004 7468 12396.88 34741553 10/01/2025 NASDAQ Common 03/07/2024 Restricted Stock Units Issuer N 7468 03/07/2024 N/A Y 10/01/2025 06/25 |
|
| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| June 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 4, 2025 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission File N |
|
| May 8, 2025 |
Exhibit 10.1 BUSINESS LOAN AGREEMENT Principal $4,100,000.00 Loan Date 02-06-2025 Maturity 02-06-2035 Loan No 16608 Call / Coll 71 RE Account Officer AF Initials References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “**” has been omitted due to text length limitations. Borrower: Heritage |
|
| May 8, 2025 |
Exhibit 10.3 COMMERCIAL SECURITY AGREEMENT Principal $4,100,000.00 Loan Date 02-06-2025 Maturity 02-06-2035 Loan No 16608 Call / Coll 71 RE Account Officer AF Initials References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “**” has been omitted due to text length limitations. Grantor: Her |
|
| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| May 8, 2025 |
Exhibit 10.2 PROMISSORY NOTE Principal $4,100,000.00 Loan Date 02-06-2025 Maturity 02-06-2035 Loan No 16608 Call / Coll 71 RE Account Officer AF Initials References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “**” has been omitted due to text length limitations. Borrower: Heritage Nancy R |
|
| May 1, 2025 |
202 ANNUALREPORTUNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLO |
|
| April 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statemen |
|
| April 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒Definitive Proxy Statemen |
|
| March 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact N |
|
| March 13, 2025 |
Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation Heritage Global LLC Delaware Heritage ALT LLC Delaware HG ALT LLC Connecticut Heritage Global Partners, Inc. |
|
| March 13, 2025 |
Exhibit 10.21 LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN [HERITAGE GLOBAL INC.; LOAN NO.:13880] This LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN (this “Agreement”) is made effective as of December 27, 2024 (“Reference Date”) by and between Heritage Global Inc., a Florida corporation (“Borrower”), and C3bank, National Association (“Lender”) with respect to the following facts: |
|
| March 13, 2025 |
Exhibit 19 HERITAGE GLOBAL INC. STATEMENT OF COMPANY POLICY REGARDING INSIDER TRADING Reasons for This Policy Statement Heritage Global Inc. and its subsidiaries (collectively referred to as “HGI” or the “Corporation”) are committed to conducting the Corporation’s business in accordance with all applicable federal, state and local laws, honesty in our business dealings, prudent use of our assets a |
|
| March 13, 2025 |
Exhibit 10.29 RESTRICTED STOCK AWARD AGREEMENT UNDER THE 2022 heritage global inc. equity INCENTIVE PLAN (Employees) Name of Grantee: No. of Shares: Grant Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan, as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants a Restricted Stock Award (an “Award”) to the Grantee named above. Upon acc |
|
| February 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 6, 2025 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission Fi |
|
| February 10, 2025 |
HGBL / Heritage Global Inc. / Topline Capital Management, LLC - EX-99.A begin 644 ck0001669811-ex99a.pdf M)5!$1BTQ+C8-)>+CS],-"C$X(# @;V)J#3P\+TQI;F5AQJH&$;P&06"@*)+@#&9@8&1:"U#$P$B#^,^[\ M"1!@ $;J!4-"F5N9'-T%LP(# @-C$R(#V8,G8R-ZHY.\SL[8#3D)+BA1DLIS6N3S4)L9FUZ,6*2WYK[7 MP\B;*?R.TU*C, ;!PG[]&8Z!?^&214\;O=N>Y9O*;F/[Y5QG!GR7LV&\N=;) M<,[9A:Y,'8FV41HO2\1DP0X&^7;6<;F"CA)4J,,Q1'KWUCJ*UTGZ]&D8 MI\E#D7RN=$FJ)4AE2R+%)%YK]NUZ?/.]?U9[6GUH"FWF*S;)BW6<6M5=A:%694S MB1W:[WG0%8=[+KRF |
|
| January 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 31, 2024 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission F |
|
| November 7, 2024 |
Exhibit 10.2 LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN [HERITAGE GLOBAL INC.; LOAN NO.:13880] This LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN (this “Agreement”) is made effective as of October 4, 2024 (“Reference Date”) by and between Heritage Global Inc., a Florida corporation (“Borrower”), and C3bank, National Association (“Lender”) with respect to the following facts: R E |
|
| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL |
|
| September 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 13, 2024 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission |
|
| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| August 8, 2024 |
Exhibit 10.1 LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN [HERITAGE GLOBAL INC.; LOAN NO.:13880] This LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN (this “Agreement”) is made effective as of July 24, 2024 (“Reference Date”) by and between Heritage Global Inc., a Florida corporation (“Borrower”), and C3bank, National Association (“Lender”) with respect to the following facts: R E C |
|
| June 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 6, 2024 (June 5, 2024) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Co |
|
| June 7, 2024 |
Second Amended and Restated Articles of Incorporation of Heritage Global Inc. Exhibit 3.1 SECOND AMENDED AND RESTATED ARTICLES OF INCORPORATION OF HERITAGE GLOBAL INC. Pursuant to Sections 607.1001, 607.1003, 607.1006 and 607.1007 of the Florida Business Corporation Act (the “Act”), HERITAGE GLOBAL INC., a corporation organized and existing under and by virtue of the provisions of the Act, DOES HEREBY CERTIFY: 1. That the name of this corporation (the “Corporation”) is Heri |
|
| May 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| April 24, 2024 |
202 ANNUALREPORTUNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLO |
|
| April 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statemen |
|
| April 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒Definitive Proxy Statemen |
|
| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statemen |
|
| March 14, 2024 |
Exhibit 10.26 LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN [HERITAGE GLOBAL INC.; LOAN NO.:13880] This LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN (this “Agreement”) is made effective as of May 26, 2023 (“Reference Date”) by and between Heritage Global Inc., a Florida corporation (“Borrower”), and C3bank, National Association (“Lender”) with respect to the following facts: R E C |
|
| March 14, 2024 |
Exhibit 10.27 PROMISSORY NOTE Principal $7,000,000.00 Loan Date 05-26-2023 Maturity 05-26-2028 Loan No 15784 Call / Coll 71 RE Account Officer JC Initials References in the boxes above are or Lender’s use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “***” has been omitted due to text length limitations. Borrower: Heritage Global |
|
| March 14, 2024 |
Exhibit 10.36 RESTRICTED STOCK AWARD AGREEMENT UNDER THE 2022 heritage global inc. equity INCENTIVE PLAN (Non-Employee Directors) Name of Grantee: No. of Shares: Grant Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan, as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants a Restricted Stock Award (an “Award”) to the Grantee named ab |
|
| March 14, 2024 |
Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 14, 2024 |
Exhibit 10.28 BUSINESS LOAN AGREEMENT Principal $7,000,000.00 Loan Date 05-26-2023 Maturity 05-26-2028 Loan No 15784 Call / Coll 71 RE Account Officer JC Initials References in the boxes above are or Lender’s use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “***” has been omitted due to text length limitations. Borrower: Heritag |
|
| March 14, 2024 |
HERITAGE GLOBAL INC. Compensation Recoupment Policy Exhibit 10.44 HERITAGE GLOBAL INC. Compensation Recoupment Policy 1. Purpose. The purpose of this Compensation Recoupment Policy of the Company (as amended from time to time, the “Policy”), dated as of November 7, 2023 (the “Adoption Date”) is to describe the circumstances in which current and former Executive Officers will be required to repay or return Erroneously Awarded Compensation to members |
|
| March 14, 2024 |
Exhibit 10.25 AMENDED AND RESTATED PROMISSORY NOTE Principal Loan Date Maturity Loan No Call Coll Account Officer Initials $10,000,000.00 05-05-2021 10-27-2024 13880 References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing ”***” has been omitted due to text length limitations. Borrower: Her |
|
| March 14, 2024 |
Heritage Global Inc. Compensation Recoupment Policy (Adopted Nov. 7, 2023). Exhibit 97.1 HERITAGE GLOBAL INC. Compensation Recoupment Policy 1. Purpose. The purpose of this Compensation Recoupment Policy of the Company (as amended from time to time, the “Policy”), dated as of November 7, 2023 (the “Adoption Date”) is to describe the circumstances in which current and former Executive Officers will be required to repay or return Erroneously Awarded Compensation to members |
|
| March 14, 2024 |
Exhibit 10.34 NON-QUALIFIED STOCK OPTION AGREEMENT UNDER THE 2022 HERITAGE GLOBAL INC. EQUITY INCENTIVE PLAN (Employees) Name of Optionee: No. of Option Shares: Option Exercise Price per Share: Grant Date: Expiration Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan, as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants to the Optio |
|
| March 14, 2024 |
Exhibit 10.35 NON-QUALIFIED STOCK OPTION AGREEMENT UNDER THE 2022 HERITAGE GLOBAL INC. EQUITY INCENTIVE PLAN (Non-Employee Directors) Name of Optionee: No. of Option Shares: Option Exercise Price per Share: Grant Date: Expiration Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants |
|
| March 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact N |
|
| March 14, 2024 |
Exhibit 10.29 PLEDGE AND SECURITY AGREEMENT LOAN #15784 This PLEDGE AND SECURITY AGREEMENT (this “Pledge Agreement”), is made as of May 26, 2023, by HERITAGE GLOBAL INC., a Florida corporation (together with its permitted successors and assigns, “Pledgor”), having an address at 12625 High Bluff Drive, Suite 305, San Diego, CA 92130, for the benefit of C3BANK, a national banking association, having |
|
| February 14, 2024 |
HGBL / Heritage Global Inc. / PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3)* Heritage Global Inc. (Name of Issuer) Common (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Fili |
|
| February 13, 2024 |
HGBL / Heritage Global Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv01111-heritageglobalinc.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Heritage Global Inc Title of Class of Securities: Common Stock CUSIP Number: 42727E103 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to |
|
| February 12, 2024 |
HGBL / Heritage Global Inc. / Topline Capital Partners, LP - SC 13G/A Passive Investment SC 13G/A 1 d747986dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) Heritage Global, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of Statement) Check the appropriate box to designa |
|
| February 12, 2024 |
EX-99.A 2 d747986dex99a.htm EX-99.A EXHIBIT A JOINT FILING UNDERTAKING The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such |
|
| February 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact |
|
| December 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 28, 2023 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission F |
|
| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL |
|
| September 21, 2023 |
United States securities and exchange commission logo September 21, 2023 Brian Cobb Chief Financial Officer Heritage Global Inc. |
|
| September 21, 2023 |
Heritage Global Inc. 12625 High Bluff Drive, Suite 305 San Diego, CA 92130 September 21, 2023 Heritage Global Inc. 12625 High Bluff Drive, Suite 305 San Diego, CA 92130 September 21, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Rucha Pandit Re: Heritage Global Inc. Registration Statement on Form S-3 File No. 333-274514 Acceleration Request Requested Date: September 25, 2023 Requested Time: |
|
| September 14, 2023 |
Exhibit 4.7 HERITAGE GLOBAL INC. AND , TRUSTEE INDENTURE DATED AS OF , 2023 DEBT SECURITIES Exhibit 4.7 HERITAGE GLOBAL INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939 AND INDENTURE, DATED AS OF , 2023 Section of Trust Indenture Act of 1939 Section(s) of Indenture § 310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 § 311(a) 613 (b) 613 (c) |
|
| September 14, 2023 |
Specimen Stock Certificate evidencing the shares of Common Stock. Exhibit 4.1 INCORPORATED UNDER THE LAWS OF THE STATE OF FLORIDA NUMBER HG 0320 HERITAGEGLOBAL INC. SHARES COMMON STOCK SEE REVERSE FOR CERTAIN DEFINITIONS CUSIP 42727E 10 3 THIS CERTIFIES THAT SPECIMEN IS THE REGISTERED HOLDER OF SHARES OF COMMON STOCK, PAR VALUE $0.01 PER SHARE, FULLY OAID AND NON-ASSESSABLE OF HERITAGE GLOBAL INC. transferable on the books of the Corporation by the holder hereof |
|
| September 14, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Heritage Global, Inc. |
|
| September 14, 2023 |
As filed with the Securities and Exchange Commission on September 14, 2023 As filed with the Securities and Exchange Commission on September 14, 2023 Registration No. |
|
| August 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 16, 2023, (August 14, 2023) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporati |
|
| August 10, 2023 |
Exhibit 10.3 PROMISSORY NOTE Principal $7,000,000.00 Loan Date 05-26-2023 Maturity 05-26-2028 Loan No 15784 Call / Coll 71 RE Account Officer JC Initials References in the boxes above are or Lender’s use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “***” has been omitted due to text length limitations. Borrower: Heritage Global |
|
| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| August 10, 2023 |
Exhibit 10.7 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made effective as of June 1, 2023 (the “Effective Date”) by and between Heritage Global Inc., a Florida corporation (“Company”), and David Ludwig (“Executive”). The parties hereto believe that it is in their respective interests to enter into an employment agreement whereby, for the consideration specified herein, Ex |
|
| August 10, 2023 |
Exhibit 10.6 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made effective as of January 1, 2023 (the “Effective Date”) by and between Heritage Global Inc., a Florida corporation (“Company”), and Nick Dove (“Executive”). Executive is skilled in business and financial matters as they relate to the business of purchasing and selling surplus or distressed industrial assets and f |
|
| August 10, 2023 |
Exhibit 10.1 AMENDED AND RESTATED PROMISSORY NOTE Principal Loan Date Maturity Loan No Call Coll Account Officer Initials $10,000,000.00 05-05-2021 10-27-2024 13880 References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing ”***” has been omitted due to text length limitations. Borrower: Heri |
|
| August 10, 2023 |
Exhibit 10.5 PLEDGE AND SECURITY AGREEMENT LOAN #15784 This PLEDGE AND SECURITY AGREEMENT (this “Pledge Agreement”), is made as of May 26, 2023, by HERITAGE GLOBAL INC., a Florida corporation (together with its permitted successors and assigns, “Pledgor”), having an address at 12625 High Bluff Drive, Suite 305, San Diego, CA 92130, for the benefit of C3BANK, a national banking association, having |
|
| August 10, 2023 |
Exhibit 10.4 BUSINESS LOAN AGREEMENT Principal $7,000,000.00 Loan Date 05-26-2023 Maturity 05-26-2028 Loan No 15784 Call / Coll 71 RE Account Officer JC Initials References in the boxes above are or Lender’s use only and do not limit the applicability of this document to any particular loan or item. Any item above containing “***” has been omitted due to text length limitations. Borrower: Heritage |
|
| August 10, 2023 |
Exhibit 10.2 LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN [HERITAGE GLOBAL INC.; LOAN NO.:13880] This LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN (this “Agreement”) is made effective as of May 26, 2023 (“Reference Date”) by and between Heritage Global Inc., a Florida corporation (“Borrower”), and C3bank, National Association (“Lender”) with respect to the following facts: R E C |
|
| June 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 20, 2023, (June 14, 2023) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) |
|
| June 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 1, 2023, (May 26, 2023) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (C |
|
| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| May 2, 2023 |
2022 ANNUAL REPORTUNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GL |
|
| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐Definitive Proxy Statemen |
|
| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒Definitive Proxy Statemen |
|
| March 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact N |
|
| March 24, 2023 |
Exhibit 10.42 NON-QUALIFIED STOCK OPTION AGREEMENT UNDER THE 2022 HERITAGE GLOBAL INC. EQUITY INCENTIVE PLAN (Non-Employee Directors) Name of Optionee: No. of Option Shares: Option Exercise Price per Share: Grant Date: Expiration Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants |
|
| March 24, 2023 |
Exhibit 10.41 NON-QUALIFIED STOCK OPTION AGREEMENT UNDER THE 2022 HERITAGE GLOBAL INC. EQUITY INCENTIVE PLAN (Employees) Name of Optionee: No. of Option Shares: Option Exercise Price per Share: Grant Date: Expiration Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan, as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants to the Optio |
|
| March 24, 2023 |
Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 24, 2023 |
Exhibit 10.43 RESTRICTED STOCK AWARD AGREEMENT UNDER THE 2022 heritage global inc. equity INCENTIVE PLAN (Non-Employee Directors) Name of Grantee: No. of Shares: Grant Date: Pursuant to the 2022 Heritage Global Inc. Equity Incentive Plan, as amended through the date hereof (the “Plan”), Heritage Global Inc. (the “Company”) hereby grants a Restricted Stock Award (an “Award”) to the Grantee named ab |
|
| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 22, 2023 (March 17, 2023) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) |
|
| March 22, 2023 |
Heritage Global Announces Appointment of Bill Burnham to Board of Directors Exhibit 99.1 Heritage Global Announces Appointment of Bill Burnham to Board of Directors SAN DIEGO, California (March 22, 2023) — Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HG” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today announced the appointment of William (“Bill”) Burnham to its Board of Directors. Mr. Burnham brin |
|
| March 20, 2023 |
HGBL / Heritage Global Inc / SILBER ALLAN C - AMENDMENT NO. 5 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Heritage Global Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42727E103 (CUSIP Number) Allan Silber 22 St. Clair Avenue East, Suite 1201, Toronto, Ontario, M4T 2S3 (647) 812-2417 (Name, Address and Telephone Number of Person Authorize |
|
| March 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 9, 2023 (March 9, 2023) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) ( |
|
| March 9, 2023 |
Exhibit 99.1 HERITAGE GLOBAL INC. ACHIEVES RECORD NET OPERATING INCOME OF $11.1 MILLION AND $0.42 EARNINGS PER SHARE FOR FULL YEAR 2022 SAN DIEGO, California (March 9, 2023) – Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HG” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today reported financial results for the fourth quarter a |
|
| February 13, 2023 |
HGBL / Heritage Global Inc / PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Passive Investment SC 13G/A 1 fp0082241-11sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 2)* Heritage Global Inc. (Name of Issuer) Common (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2022 |
|
| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL |
|
| November 10, 2022 |
Exhibit 10.1 LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN [HERITAGE GLOBAL INC.; LOAN NO.:13880] This LOAN MODIFICATION AGREEMENT AND REAFFIRMATION OF LOAN (this ?Agreement?) is made effective as of April 1, 2022 (?Reference Date?) by and between Heritage Global Inc., a Florida corporation (?Borrower?), and C3bank, National Association (?Lender?) with respect to the following facts: R E C |
|
| August 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 26, 2022 (August 23, 2022) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporatio |
|
| August 15, 2022 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 15, 2022 (August 9, 2022) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation |
|
| August 15, 2022 |
Letter from Baker Tilly US, LLP, dated August 15, 2022, regarding change in certifying accountant Exhibit 16.1 August 15, 2022 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Dear Ladies and Gentlemen: We are the former independent registered public accounting firm for Heritage Global Inc. (the ?Company?). We have read the Company?s disclosure set forth in Item 4.01 ?Changes in Registrant?s Certifying Accountant? of the Company?s Current Report on Form 8-K dated August |
|
| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| July 13, 2022 |
EX-FILING FEES 4 hgbl-exfilingfees.htm FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Heritage Global Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price Fee Rate Amount |
|
| July 13, 2022 |
As Filed With the Securities and Exchange Commission on July 13, 2022 As Filed With the Securities and Exchange Commission on July 13, 2022 Registration No. |
|
| June 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 14, 2022 (June 8, 2022) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (C |
|
| June 9, 2022 |
HGBL / Heritage Global Inc / SILBER ALLAN C - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Heritage Global Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42727E103 (CUSIP Number) Allan Silber c/o Point Biopharma Global Inc. 4850 West 78th Street, Indianapolis, Indiana 46268 (647) 812-2417 (Name, Address and Telephon |
|
| May 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 31, 2022 (May 24, 2022) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Co |
|
| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 HERITAGE GLOBAL INC. |
|
| April 19, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
|
| April 15, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
|
| March 17, 2022 |
Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact N |
|
| February 14, 2022 |
HGBL / Heritage Global Inc / PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* Heritage Global Inc. (Name of Issuer) Common (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Fili |
|
| December 28, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 15, 2021 (June 09, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction |
|
| December 23, 2021 |
Form of Indemnification Agreement Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement (?Agreement?), dated as of [?], is by and between Heritage Global Inc., a Florida corporation (the ?Company?), and [?] (the ?Indemnitee?). WHEREAS, Indemnitee has agreed to serve as [an executive officer of the Company as authorized by / a member of] the Company?s board of directors (the ?Board?) effective as of the date hereof; |
|
| December 23, 2021 |
HERITAGE GLOBAL INC. APPOINTS SHIRLEY CHO TO BOARD OF DIRECTORS Exhibit 99.1 HERITAGE GLOBAL INC. APPOINTS SHIRLEY CHO TO BOARD OF DIRECTORS SAN DIEGO, California (December 22, 2021) ? Heritage Global Inc. (NASDAQ: HGBL) (?Heritage Global,? ?HGI? or ?the Company?), an asset services company specializing in financial and industrial asset transactions, today announced the appointment of Shirley S. Cho to its board of directors, effective as of December 20, 2021. |
|
| December 23, 2021 |
Letter Agreement and Information Barrier Protocol Exhibit 10.2 L O S A N G E L E S, C A S A N F R A N C I S C O, C A W I L M I N G T O N, D E N E W Y O R K, N Y H O U S T O N, T X 10100 SANTA MONICA BLVD. 13th FLOOR LOS ANGELES CALIFORNIA 90067-4003 TELEPHONE: 310.277.6910 FACSIMILE: 310.201.0760 SAN FRANCISCO 150 CALIFORNIA STREET 15th FLOOR SAN FRANCISCO CALIFORNIA 94111-4500 TELEPHONE: 415.263.7000 FACSIMILE: 415.263.7010 DELAWARE 919 NORTH MA |
|
| December 23, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 22, 2021 (December 19, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorpor |
|
| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 Heritage Global |
|
| October 4, 2021 |
Heritage Global Inc. 12625 High Bluff Drive, Suite 305 San Diego, CA 92130 October 4, 2021 Heritage Global Inc. 12625 High Bluff Drive, Suite 305 San Diego, CA 92130 October 4, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Jennifer Lopez Re: Heritage Global Inc. Registration Statement on Form S-3 File No. 333-259795 Acceleration Request Requested Date: October 6, 2021 Requested Time:4:01 |
|
| September 30, 2021 |
United States securities and exchange commission logo September 30, 2021 Ross Dove Chief Executive Officer Heritage Global Inc. |
|
| September 24, 2021 |
As filed with the Securities and Exchange Commission on September 24, 2021 As filed with the Securities and Exchange Commission on September 24, 2021 Registration No. |
|
| September 14, 2021 |
HGBL / Heritage Global Inc / SILBER ALLAN C - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Heritage Global Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42727E103 (CUSIP Number) Allan Silber c/o Point Biopharma Inc. 22 St. Clair Avenue East, Suite 1201, Toronto, Ontario, M4T 2S3, Canada (647) 812-2417 (Name, Addres |
|
| August 24, 2021 |
Execution Version Exhibit 10.3 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY OTHER SECURITIES OR STATE BLUE SKY LAW, AND MAY NOT BE PLEDGED, HYPOTHECATED, TRANSFERRED, OFFERED FOR SALE OR SOLD EXCEPT PURSUANT TO A REGISTRATION OR AN EXEMPTION FROM REGISTRATION UNDER SAID ACTS. SUBORDINATED PROMISSORY NOTE US $2,000,000.00August 23, 2021 FOR VALUE RECEIVED, |
|
| August 24, 2021 |
Exhibit 99.1 Heritage Global Partners Acquires American Laboratory Trading Strengthens position in critical industrial sector through the acquisition of a leading reseller of lab equipment assets San Diego, CA. (August 23, 2021) ?Heritage Global Partners (?HGP?), a worldwide leader in asset advisory and auction services, and a subsidiary of Heritage Global Inc. (Nasdaq: HGBL) today announced that |
|
| August 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 24, 2021 (August 18, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporatio |
|
| August 24, 2021 |
Execution Version Exhibit 10.1 ASSET PURCHASE AGREEMENT BY AND AMONG HERITAGE ALT LLC, AMERICAN LABORATORY TRADING, INC., DANTE LATERRA, AND HERITAGE GLOBAL INC. (SOLELY FOR THE PURPOSES OF SECTION 9.15 AND ARTICLE IX) DATED AS OF August 18, 2021 STRICTLY PRIVATE AND CONFIDENTIAL DRAFT FOR DISCUSSION PURPOSES ONLY. CIRCULATION OF THIS DRAFT SHALL NOT GIVE RISE TO ANY DUTY TO NEGOTIATE OR CREATE OR |
|
| August 24, 2021 |
Exhibit 10.2 PURCHASE AND SALE AGREEMENT (12 Colton Road, East Lyme, CT) This PURCHASE AND SALE AGREEMENT (the ?Agreement?) by and among 12 COLTON ROAD, LLC, a Connecticut limited liability company (the ?Seller?), and HG ALT LLC, a Connecticut limited liability company (?Purchaser?) is effective as of August 18, 2021(the ?Effective Date?). Seller and Purchaser are sometimes hereinafter collectivel |
|
| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 Heritage Global Inc. |
|
| August 12, 2021 |
Exhibit 10.5 May 5, 2021 C3bank, National Association Arlington Office 3727 Arlington Ave. Riverside, CA 92506 Attn: Andrew Meitzen, SVP/Chief Risk Officer Dear Andrew: Reference is made to that certain (i) Business Loan Agreement of even date hereof by and between Heritage Global Inc., a Florida corporation ("Borrower") and C3bank, National Association ("Lender") (as the same heretofore may have |
|
| August 12, 2021 |
Exhibit 10.3 COMMERCIAL SECURITY AGREEMENT Borrower:Heritage Global Inc.Lender:C3bank, National Association 12625 High Bluff Drive , Suite 305Riverside Office San Diego, CA 921303727 Arlington Ave Riverside, CA 92506 Grantor: Heritage Global Inc.; Heritage Global Partners Inc.; Heritage Global LLC; National Loan Exchange, Inc.; Heritage Global Capital LLC; and Equity Partners HG, LLC 12625 High Bl |
|
| August 12, 2021 |
Exhibit 10.4 PLEDGE AND SECURITY AGREEMENT This PLEDGE AND SECURITY AGREEMENT (this ?Pledge Agreement?), is made as of May 5, 2021, by HERITAGE GLOBAL INC., a Florida corporation (together with its permitted successors and assigns, ?Pledgor?), having an address at 12625 High Bluff Drive, Suite 305, San Diego, CA 92130, for the benefit of C3BANK, a national banking association, having an address at |
|
| August 12, 2021 |
Exhibit 10.2 PROMISSORY NOTE Borrower:Heritage Global Inc. 12625 High Bluff Drive San Diego, CA 92130 , Suite 305 Lender:C3bank, National Association Riverside Office 3727 Arlington Ave Riverside, CA 92506 Principal Amount: $10,000,000.00Date of Note: May 5, 2021 PROMISE TO PAY. Heritage Global Inc. ("Borrower") promises to pay to C3bank, National Association ("Lender"), or order, in lawful money |
|
| August 12, 2021 |
Exhibit 10.1 BUSINESS LOAN AGREEMENT Borrower:Heritage Global Inc.Lender:C3bank, National Association 12625 High Bluff Drive, Suite 305Riverside Office San Diego, CA 921303727 Arlington Ave Riverside, CA 92506 THIS BUSINESS LOAN AGREEMENT dated May 5, 2021, is made and executed between Heritage Global Inc. ("Borrower") and C3bank, National Association ("Lender") on the following terms and conditio |
|
| June 15, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 15, 2021 (June 9, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (C |
|
| May 13, 2021 |
Exhibit 10.1 SEparation AGREEMENT & GENERAL RELEASE This Separation Agreement and General Release (?Agreement?) is made and entered into as by and between Heritage Global Inc. (?HGI?) on the one hand, and Scott A. West (?Executive?), on the other hand. HGI and Executive together are referred to herein as the Parties. This Agreement shall be effective on the eighth day after it is signed by Executi |
|
| May 13, 2021 |
Exhibit 10.2 BUSINESS LOAN AGREEMENT Borrower:Heritage Global Inc.Lender:C3bank, National Association 12625 High Bluff Drive, Suite 305Riverside Office San Diego, CA 921303727 Arlington Ave Riverside, CA 92506 THIS BUSINESS LOAN AGREEMENT dated May 5, 2021, is made and executed between Heritage Global Inc. ("Borrower") and C3bank, National Association ("Lender") on the following terms and conditio |
|
| May 13, 2021 |
Exhibit 10.5 PLEDGE AND SECURITY AGREEMENT This PLEDGE AND SECURITY AGREEMENT (this ?Pledge Agreement?), is made as of May 5, 2021, by HERITAGE GLOBAL INC., a Florida corporation (together with its permitted successors and assigns, ?Pledgor?), having an address at 12625 High Bluff Drive, Suite 305, San Diego, CA 92130, for the benefit of C3BANK, a national banking association, having an address at |
|
| May 13, 2021 |
Exhibit 10.3 PROMISSORY NOTE Borrower:Heritage Global Inc. 12625 High Bluff Drive San Diego, CA 92130 , Suite 305 Lender:C3bank, National Association Riverside Office 3727 Arlington Ave Riverside, CA 92506 Principal Amount: $10,000,000.00Date of Note: May 5, 2021 PROMISE TO PAY. Heritage Global Inc. ("Borrower") promises to pay to C3bank, National Association ("Lender"), or order, in lawful money |
|
| May 13, 2021 |
Side Letter, dated May 5, 2021, by and between Heritage Global Inc. and C3bank, National Association Exhibit 10.6 May 5, 2021 C3bank, National Association Arlington Office 3727 Arlington Ave. Riverside, CA 92506 Attn: Andrew Meitzen, SVP/Chief Risk Officer Dear Andrew: Reference is made to that certain (i) Business Loan Agreement of even date hereof by and between Heritage Global Inc., a Florida corporation ("Borrower") and C3bank, National Association ("Lender") (as the same heretofore may have |
|
| May 13, 2021 |
Exhibit 10.4 COMMERCIAL SECURITY AGREEMENT Borrower:Heritage Global Inc.Lender:C3bank, National Association 12625 High Bluff Drive , Suite 305Riverside Office San Diego, CA 921303727 Arlington Ave Riverside, CA 92506 Grantor: Heritage Global Inc.; Heritage Global Partners Inc.; Heritage Global LLC; National Loan Exchange, Inc.; Heritage Global Capital LLC; and Equity Partners HG, LLC 12625 High Bl |
|
| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 Heritage Global Inc. |
|
| May 12, 2021 |
SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Heritage Global Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42727E103 (CUSIP Number) Allan Silber c/o Point Biopharma Inc. 22 St. Clair Avenue East, Suite 1201, Toronto, Ontario, M4T 2S3, Canada (647) 812-2417 (Name, Addres |
|
| April 26, 2021 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
|
| April 26, 2021 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
|
| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 5, 2021 (March 18, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdictio |
|
| March 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 24, 2021 (March 18, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) |
|
| March 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 9, 2021 (March 4, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) ( |
|
| March 9, 2021 |
Heritage Global Announces Appointment of David Ludwig to Board of Directors Exhibit 99.1 Heritage Global Announces Appointment of David Ludwig to Board of Directors SAN DIEGO, California (March 9, 2021) — Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HGI” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today announced that David Ludwig, President of the Company’s Financial Asset Division, has been electe |
|
| March 8, 2021 |
Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-39471 HERITAGE GLOBAL INC. (Exact N |
|
| March 8, 2021 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2020, Heritage Global Inc. had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock. In this Exhibit 4.2, when we refer to the ?Company,? ?we,? ?us? or ?our? or when we otherwise refer |
|
| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. )* Heritage Global Inc. (Name of Issuer) Common (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filin |
|
| February 8, 2021 |
EX-A EXHIBIT A JOINT FILING UNDERTAKING The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such parties. |
|
| February 8, 2021 |
Amendment No. 4 to Schedule 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) Heritage Global, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of Statement) Check the appropriate box to designate the |
|
| January 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 19, 2021 (January 12, 2021) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporat |
|
| January 19, 2021 |
Samuel L. Shimer Named Chair of Heritage Global Board of Directors Exhibit 99.1 Samuel L. Shimer Named Chair of Heritage Global Board of Directors SAN DIEGO, California (January 19, 2021) — Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HGI” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today announced that Samuel L. Shimer has been elected Chair of its Board of Directors. Former Chair and Boar |
|
| January 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 12, 2021 HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporation) (Commission Fi |
|
| January 12, 2021 |
Heritage Global Expects Significant Net Operating Growth in Fourth Quarter 2020 Exhibit 99.1 Heritage Global Expects Significant Net Operating Growth in Fourth Quarter 2020 SAN DIEGO, California (January 12, 2021) — Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HGI” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today announced that it expects to report significant growth in net operating income for the fou |
|
| November 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39471 Heritage Global |
|
| November 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 9, 2020 (November 5, 2020) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 001-39471 59-2291344 (State or other jurisdiction of incorporat |
|
| November 9, 2020 |
HERITAGE GLOBAL INC. ANNOUNCES STRONG 2020 THIRD QUARTER OPERATING RESULTS Exhibit 99.1 HERITAGE GLOBAL INC. ANNOUNCES STRONG 2020 THIRD QUARTER OPERATING RESULTS SAN DIEGO, California (November 9, 2020) – Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HGI” or “the Company”), an asset services company specializing in financial and industrial asset transactions, today reported financial results for the third quarter ended September 30, 2020. Heritage Global Chie |
|
| November 5, 2020 |
Letter from Squar Milner, LLP dated November 5, 2020. Exhibit 16.1 November 5, 2020 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Dear Ladies and Gentlemen: We are the former independent registered public accounting firm for Heritage Global Inc. and Subsidiaries (the “Company”). We have read the Company’s disclosure set forth in Item 4.01 “Changes in Registrant’s Certifying Accountant” of the Company’s Current Report on For |
|
| November 5, 2020 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 5, 2020 (November 1, 2020) HERITAGE GLOBAL INC. |
|
| October 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 29, 2020 (October 27, 2020) HERITAGE GLOBAL INC. |
|
| October 29, 2020 |
Exhibit 1.1 HAYWARD GATEWAY CENTER INDUSTRIAL LEASE AGREEMENT BETWEEN HAYWARD FGHK INDUSTRIAL, LLC, a Delaware limited liability company AS LANDLORD AND HERITAGE GLOBAL PARTNERS, INC., a California corporation AS TENANT DATED AS OF OCTOBER 19, 2020 Table of Contents Page 1. Definitions and Basic Provisions3 2. Lease and License Grant4 3. Tender of Possession4 4. Rent6 5. Delinquent Payment; Handli |
|
| October 6, 2020 |
HERITAGE GLOBAL INC. PRICES PUBLIC OFFERING OF COMMON STOCK EX-99.2 5 hgbl-ex9929.htm EX-99.2 Exhibit 99.2 HERITAGE GLOBAL INC. PRICES PUBLIC OFFERING OF COMMON STOCK SAN DIEGO, California. (October 2, 2020) – Heritage Global Inc. (Nasdaq: HGBL) (“Heritage Global,” “HGI” or the “Company”), an asset services company specializing in financial and industrial asset transactions, today announced the pricing of its previously announced underwritten public offeri |
|
| October 6, 2020 |
HERITAGE GLOBAL INC. ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK Exhibit 99.1 HERITAGE GLOBAL INC. ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK SAN DIEGO, California. (October 1, 2020) – Heritage Global Inc. (Nasdaq: HGBL) (“Heritage Global,” “HGI” or the “Company”), an asset services company specializing in financial and industrial asset transactions, today announced that it intends to offer and sell shares of its common stock in an underwritten public o |
|
| October 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 6, 2020 HERITAGE GLOBAL INC. |
|
| October 6, 2020 |
Exhibit 1.1 4,750,000 Shares1 Heritage Global Inc. Common Stock, $0.01 par value per share UNDERWRITING AGREEMENT October 2, 2020 Lake Street Capital Markets, LLC As Representative of the several Underwriters named in Schedule I hereto c/o Lake Street Capital Markets, LLC 920 Second Avenue South, Suite 700 Minneapolis, Minnesota 55402 c/o Colliers Securities LLC 90 South Seventh Street, Suite 4300 |
|
| October 2, 2020 |
4,750,000 Shares Heritage Global Inc. Common Stock Filed Pursuant to Rule 424(b)(2) File No. 333-248578 PROSPECTUS SUPPLEMENT (To Prospectus dated September 15, 2020) 4,750,000 Shares Heritage Global Inc. Common Stock This is a public offering of shares of common stock of Heritage Global Inc. We are offering 4,750,000 shares of our common stock, $0.01 par value per share, directly to investors in this offering pursuant to this prospectus supplemen |
|
| October 2, 2020 |
Results of Operations and Financial Condition, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 2, 2020 HERITAGE GLOBAL INC. |
|
| October 1, 2020 |
Subject to Completion, dated October 1, 2020 Filed Pursuant to Rule 424(b)(5) File No. 333-248578 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus do not constitute an offer to sell these securities and we are not soliciting offers to buy these securities in any jurisdiction where the offer or sale is not permitted. Subject to |
|
| September 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 30, 2020 (September 29, 2020) HERITAGE GLOBAL INC. |
|
| September 30, 2020 |
Exhibit 3.1 RESTATED BY-LAWS OF HERITAGE GLOBAL INC. (AS AMENDED THROUGH SEPTEMBER 29, 2020) ARTICLE I - OFFICERS The principal office of the corporation shall be at 12625 High Bluff Drive, Suite 305, San Diego, CA 92130, or at such other place as the Board of Directors may from time to time direct. ARTICLE II - MEETINGS OF STOCKHOLDERS SECTION 1.ANNUAL MEETINGS. The annual meeting of the stockhol |
|
| September 21, 2020 |
Exhibit 10.2 AMENDMENT TO STOCK OPTION AWARD This Amendment (“Amendment”) to the Stock Option Award (“Agreement”) granted on December 9, 2016, by and between Heritage Global Inc. (“Company”) and Kirk Dove (“Optionee”), is made as of September 20, 2020, by and among the Company and the Optionee. R E C I T A L S WHEREAS, the Optionee was granted an option to purchase shares of the Company’s common s |
|
| September 21, 2020 |
HERITAGE GLOBAL INC. ANNOUNCES EXECUTIVE PROMOTIONS Exhibit 99.1 HERITAGE GLOBAL INC. ANNOUNCES EXECUTIVE PROMOTIONS SAN DIEGO, California (September 21, 2020) – Heritage Global Inc. (NASDAQ: HGBL) (“Heritage Global,” “HGI” or “the Company”), an asset services company specializing in financial and industrial assets, today announced key senior executive promotions in the Company’s Financial Assets and Industrial Assets divisions. More specifically, |
|
| September 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 21, 2020 (September 17, 2020) HERITAGE GLOBAL INC. |
|
| September 21, 2020 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is made and entered into as of September 17, 2020 (“Effective Date”) by and between Heritage Global Inc., a Florida corporation (the “Company”), and Kirk Dove (“Employee”). Company and Employee are sometimes referred to herein individually as a “Party” and collectively as the “Parties.” Employee is employed by Company pu |
|
| September 14, 2020 |
Heritage Global Inc. 12625 High Bluff Drive, Suite 305 San Diego, California 92130 September 14, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Consumer Products 100 F Street, NE Washington, D.C. 20549 Attention:Daniel Morris Re:Heritage Global Inc. Registration Statement on Form S-3 File No. 333-248578 Acceleration Request Requested Date: |
|
| September 11, 2020 |
United States securities and exchange commission logo September 11, 2020 Ross Dove Chief Executive Officer Heritage Global Inc. |
|
| September 11, 2020 |
United States securities and exchange commission logo September 11, 2020 Ross Dove Chief Executive Officer Heritage Global Inc. |
|
| September 3, 2020 |
Exhibit 4.7 HERITAGE GLOBAL INC. AND , TRUSTEE INDENTURE DATED AS OF , 2020 DEBT SECURITIES HERITAGE GLOBAL INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939 AND INDENTURE, DATED AS OF , 2020 Section of Trust Indenture Act of 1939 Section(s) of Indenture § 310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 § 311(a) 613 (b) 613 (c) Not Applica |
|
| September 3, 2020 |
As filed with the Securities and Exchange Commission on September 3, 2020 Registration No. |
|
| September 3, 2020 |
Specimen Stock Certificate evidencing the shares of Common Stock Exhibit 4.1 INCORPORATED UNDER THE LAWS OF THE STATE OF FLORIDA NUMBER HG 0320 HERITAGEGLOBAL INC. SHARES COMMON STOCK SEE REVERSE FOR CERTAIN DEFINITIONS CUSIP 42727E 10 3 THIS CERTIFIES THAT SPECIMEN IS THE REGISTERED HOLDER OF SHARES OF COMMON STOCK, PAR VALUE $0.01 PER SHARE, FULLY OAID AND NON-ASSESSABLE OF HERITAGE GLOBAL INC. transferable on the books of the Corporation by the holder hereof |
|
| August 28, 2020 |
begin 644 8ACertHGBL.pdf M)5!$1BTQ+C4-"B6UM;6U#0HQ(# @;V)J#0H\/"]4>7!E+T-A=&%L;V7!E+U!A9V5S+T-O=6YT(#$O2VED'0O26UA9V5"+TEM86=E0R]);6%G94E=(#X^+TUE M9&EA0F]X6R P(# @-C$R(#2]#4R]$979I8V521T(^/B]486)S M+U,O4W1R=6-T4&%R96YT)R]6VUO MVS@2FX@X$H#CAI$3/BFR@="@.IFW2[UQ2[=0[[H=D/BBS;VCAV(BGIYM? M#&4Y;B2N5R[;H+9DBM(,GQG./!RQ)Z=%E<^2M"*O7Y^<5E62+K(I^7QRN;[[ MX^3RZ2X[^369YZNDRM>KD\G#=85-/V?)-"M&(+F[9C<'PT"&N!? |
|
| August 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 HERITAGE GLOBAL INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) FLORIDA 59-2291344 (State or other jurisdiction of incorporation) (IRS Employer Identification No.) 12625 High Bluff Driv |
|
| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. (E |
|
| June 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 4, 2020 (June 2, 2020) HERITAGE GLOBAL INC. |
|
| June 4, 2020 |
Investor Presentation May 2020 Acquisition/disposition/valuation/lending services for surplus and distressed assets Exhibit 99. |
|
| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. ( |
|
| May 7, 2020 |
EX-A EXHIBIT A JOINT FILING UNDERTAKING The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such parties. |
|
| May 7, 2020 |
HGBL / Heritage Global Inc. / Topline Capital Partners, Lp - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) Heritage Global, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 42727E103 (CUSIP Number) May 5, 2020 (Date of Event Which Requires Filing of Statement) Check the appropriate box to designate the rule pursuant to which this S |
|
| March 25, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 25, 2020 HERITAGE GLOBAL INC. |
|
| March 25, 2020 |
Investor Presentation March 2020 Acquisition/disposition/valuation/lending services for surplus and distressed assets Exhibit 99. |
|
| March 9, 2020 |
Exhibit 3.1 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF Heritage Global Inc. ARTICLE I NAME The name of this corporation is “Heritage Global Inc.” ARTICLE II PURPOSES This corporation may engage in any activity or business permitted under the laws of the United States of America and of this State. ARTICLE III CAPITAL STOCK The maximum number of shares at stock which this corporation is autho |
|
| March 9, 2020 |
Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 9, 2020 |
HGBL / Heritage Global Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 Commission File No. 0-17973 HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in Its Charter) Florida 59-2291344 (State or Other Jurisdiction of Incorporation or Organization) ( |
|
| March 9, 2020 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2019, Heritage Global Inc. had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock. In this Exhibit 4.2, when we refer to the “Company,” “we,” “us” or “our” or when we otherwise refer |
|
| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 14, 2020 (February 10, 2020) HERITAGE GLOBAL INC. |
|
| February 14, 2020 |
Exhibit 10.1 PROMISSORY NOTE Principal $5,000,000.00 Loan Date 02-05-2020 Maturity 02-05-2021 Loan No 12448 Call / Coll Account Officer Initials References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing "***" has been omitted due to text length limitations. Borrower: Heritage Global Inc. 126 |
|
| February 14, 2020 |
Exhibit 10.3 COMMERCIAL SECURITY AGREEMENT Principal Loan Date Maturity Loan No Call / Coll Account Officer Initials $5,000,000.00 02-05-2020 02-05-2021 12448 References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing "***" has been omitted due to text length limitations. Borrower: Heritage G |
|
| February 14, 2020 |
Exhibit 10.2 BUSINESS LOAN AGREEMENT Principal $5,000,000.00 Loan Date 02-05-2020 Maturity 02-05-2021 Loan No 12448 Call / Coll Account Officer Initials References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing "***" has been omitted due to text length limitations. Borrower: Heritage Global |
|
| February 13, 2020 |
HGBL / Heritage Global Inc. / Topline Capital Partners, Lp - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Heritage Global, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 42727E103 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of Statement) Check the appropriate box to designate the rule pursuant to which |
|
| February 13, 2020 |
EX-A EXHIBIT A JOINT FILING UNDERTAKING The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such parties. |
|
| November 8, 2019 |
Exhibit 10.1 Amendment to Employment Agreement This Amendment to Employment Agreement (“Amendment”) is effective as of September 13, 2019 between Equity Partners HG LLC f/k/a Equity Partners CRB, LLC (“Company”) and Kenneth Mann (“Executive”). Company and Executive are party to an Employment Agreement dated March 10, 2011 (the “Agreement”). Company and Executive desire for Executive’s employment t |
|
| November 8, 2019 |
HGBL / Heritage Global Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global In |
|
| November 4, 2019 |
HGBL / Heritage Global Inc. / Topline Capital Partners, Lp - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Heritage Global, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 42727E103 (CUSIP Number) January 11, 2019 (Date of Event Which Requires Filing of Statement) Check the appropriate box to designate the rule pursuant to which t |
|
| November 4, 2019 |
EX-A EXHIBIT A JOINT FILING UNDERTAKING The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such parties. |
|
| September 18, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 18, 2019 (September 13, 2019) HERITAGE GLOBAL INC. |
|
| September 18, 2019 |
Exhibit 99.1 HERITAGE GLOBAL INC. TO REALIGN MIDDLE MARKET M&A ADVISORY SERVICES BUSINESS TO INCREASE EFFICIENCIES SAN DIEGO, California (September 18, 2019) – Heritage Global Inc. (OTCQB: HGBL, CSE: HGP) (“Heritage Global,” “HGI” or “the Company”), a diversified financial services company providing asset-based acquisition, disposition, valuation, and lending services, today announced a strategic |
|
| August 5, 2019 |
HGBL / Heritage Global Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. (E |
|
| May 6, 2019 |
HGBL / Heritage Global Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. ( |
|
| April 3, 2019 |
Exhibit 10.1 CHANGE IN TERMS AGREEMENT PrincipalLoan DateMaturityLoan NoCall / CollAccountOfficerInitials $3,000,000.0003-29-201904-05-2020213334A00 JAK References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing "***" has been omitted due to text length limitations. Borrower: Heritage Global |
|
| April 3, 2019 |
Exhibit 10.2 FIRST AMENDMENT TO BUSINESS LOAN AGREEMENT PrincipalLoan DateMaturityLoan NoCall / CollAccountOfficerInitials $3,000,000.0003-29-201904-05-2020213334A00 JAK References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing "***" has been omitted due to text length limitations. Borrower: |
|
| April 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 3, 2019 (March 29, 2019) HERITAGE GLOBAL INC. |
|
| March 25, 2019 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 25, 2019 (March 19, 2019) HERITAGE GLOBAL INC. (Exact name of registrant as specified in its charter) Florida 0-17973 59-2291344 (State or other jurisdiction of incorporation) ( |
|
| March 25, 2019 |
EXECUTION VERSION Exhibit 4.1 THIS AGREEMENT AND THE SECURITIES EVIDENCED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAW AND MAY NOT BE OFFERED, SOLD, PLEDGED, TRANSFERRED OR OTHERWISE DISPOSED OF IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT OR APPLICABLE EXEMPTION FROM REGISTRATION. WARRANT AGREEMENT THIS WARRANT AGREEMENT (this |
|
| March 14, 2019 |
HGBL / Heritage Global Inc. / Topline Capital Partners, Lp - 13G Passive Investment SC 13G 1 ToplineH13G.txt 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Heritage Global Inc. (Name of Issuer) Common stock, $0.01 par value (Title of Class of Securities) 42727E103 (CUSIP Number) January 11, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to |
|
| March 11, 2019 |
HGBL / Heritage Global Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 Commission File No. 0-17973 HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in Its Charter) Florida 59-2291344 (State or Other Jurisdiction of Incorporation or Organization) ( |
|
| March 11, 2019 |
List of subsidiaries. (filed herewith) EX-21 2 hgbl-ex217.htm EX-21 Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. Delaware C2 Investments Inc. Delaware I-Link Systems Inc. Utah Mibridge Inc. Utah Heritage Global LLC Delaware Equity Partners HG LLC Delaware Heritage Global Partners, Inc. California Heritage Global Partners UK Limited N/A Heritage Global Partners German |
|
| November 5, 2018 |
HGBL / Heritage Global Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global In |
|
| October 3, 2018 |
Exhibit 10.2 PROMISSORY NOTE Principal Loan Date Maturity Loan No Call / Coll Account Officer Initials $1,500,000.00 09-27-2018 10-05-2019 21333 4A00 MH JK References in the boxes above are for Lender's use only and do not limit the applicability of this document to any particular loan or item. Any item above containing "***" has been omitted due to text length limitations. Borrower: Heritage Glob |
|
| October 3, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 3, 2018 (September 27, 2018) HERITAGE GLOBAL INC. |
|
| August 6, 2018 |
HGBL / Heritage Global Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. (E |
|
| May 7, 2018 |
HGBL / Heritage Global Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. ( |
|
| April 24, 2018 |
Exhibit 10.1 ADDENDUM This Addendum (this “Addendum”) is entered into as of June 1, 2018 (the “Effective Date”), by and among Heritage Global Inc. a Florida corporation (“Heritage Global”), National Loan Exchange, Inc., an Illinois corporation (“NLEX”), Dave Ludwig (“President”), and Tom Ludwig (“General Counsel”, and together with President, “Executives”). NLEX and each Executive is party to an E |
|
| April 24, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 April 24, 2018 (April 18, 2018) Date of report (Date of earliest event reported) HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in its Charter) FLORIDA (State or Other Jurisdiction of Incorporation or Organization) 0 |
|
| March 13, 2018 |
List of subsidiaries. (filed herewith) Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 13, 2018 |
2016 Stock Option Plan. (filed herewith) Exhibit 10.27 HERITAGE GLOBAL INC. 2016 STOCK OPTION PLAN TABLE OF CONTENTS SECTION 1. PURPOSE 1 SECTION 2. Definitions 1 2.1. “Affiliate” 1 2.2. “Award” 1 2.3. “Award Agreement” 1 2.4. “Board of Directors” or “Board” 1 2.5. “Change in Control” 1 2.6. “Code” 2 2.7. “Committee” 2 2.8. “Common Stock” 2 2.9. “Employee” 2 2.10. “Exchange Act” 2 2.11. “Fair Market Value” 2 2.12. “ISO” 2 2.13. “Non-Qual |
|
| March 13, 2018 |
Exhibit 10.26 Heritage Global Inc. 2016 Stock Option Plan Stock Option Award Name: Address: Heritage Global, Inc. [Address] [City, State ZIP] Grant: Option to purchase shares of Common Stock Incentive Stock Option Non-Qualified Stock Option Exercise Price: $ per share Date of Grant: Dear : Pursuant to Heritage Global Inc.’s (the “Company’s”) 2016 Stock Option Plan (the “Plan”), the Board has now g |
|
| March 13, 2018 |
HGBL / Heritage Global Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 Commission File No. 0-17973 HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in Its Charter) Florida 59-2291344 (State or Other Jurisdiction of Incorporation or Organization) ( |
|
| February 5, 2018 |
8-K 1 hgbl-8k20180130.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 February 5, 2018 (January 30, 2018) Date of report (Date of earliest event reported) HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in its Charter) FLORIDA (State or Other Jurisdiction o |
|
| November 6, 2017 |
HGBL / Heritage Global Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global In |
|
| August 9, 2017 |
HGBL / Heritage Global Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-17973 Heritage Global Inc. (E |
|
| May 8, 2017 |
Heritage Global HGBL-10Q-20170331 (Quarterly Report) 10-Q 1 hgbl-10q20170331.htm HGBL-10Q-20170331 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commissi |
|
| March 7, 2017 |
Heritage Global FORM 10-K (Annual Report) hgbl-10k20161231.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 Commission File No. 0-17973 HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in Its Charter) Florida 59-2291344 (State or Other Jurisdiction of Incorporati |
|
| March 7, 2017 |
List of Subsidiaries of the Registrant Exhibit 21 List of Subsidiaries of the Registrant Name State of Incorporation C2 Communications Technologies, Inc. |
|
| March 7, 2017 |
Heritage Global Inc. 2016 Stock Option Plan Stock Option Award Exhibit 10.29 Heritage Global Inc. 2016 Stock Option Plan Stock Option Award Name: Address: Heritage Global, Inc. [Address] [City, State ZIP] Grant: Option to purchase shares of Common Stock Incentive Stock Option Non-Qualified Stock Option Exercise Price: $ per share Date of Grant: Dear : Pursuant to Heritage Global Inc.’s (the “Company’s”) 2016 Stock Option Plan (the “Plan”), the Board has now g |
|
| March 7, 2017 |
HERITAGE GLOBAL INC. 2016 STOCK OPTION PLAN TABLE OF CONTENTS Exhibit 10.30 HERITAGE GLOBAL INC. 2016 STOCK OPTION PLAN TABLE OF CONTENTS SECTION 1. PURPOSE 1 SECTION 2. Definitions 1 2.1. “Affiliate” 1 2.2. “Award” 1 2.3. “Award Agreement” 1 2.4. “Board of Directors” or “Board” 1 2.5. “Change in Control” 1 2.6. “Code” 2 2.7. “Committee” 2 2.8. “Common Stock” 2 2.9. “Employee” 2 2.10. “Exchange Act” 2 2.11. “Fair Market Value” 2 2.12. “ISO” 2 2.13. “Non-Qual |
|
| January 5, 2017 |
HGBL / Heritage Global Inc. / SILBER ALLAN C - SC 13D/A ALLAN SILBER Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Heritage Global Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42727E103 (CUSIP Number) Allan Silber c/o Street Capital Group, Inc. 1 Toronto St., Suite 700 Toronto, Ontario, Canada M5C 2V6 (416) 866-3000 (Name, Address and Telephone N |
|
| December 27, 2016 |
Heritage Global 8-K (Current Report/Significant Event) hgbl-8k20161222.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 December 27, 2016 (December 22, 2016) Date of report (Date of earliest event reported) HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in its Charter) FLORIDA (State or Other Jurisdiction of Incorp |
|
| December 27, 2016 |
hgbl-ex10125.htm Exhibit 10.1 SECURED PROMISSORY NOTE REVOLVING LINE OF CREDIT Principal Amount: up to $1,500,000 Date: December 23, 2016 Variable Interest Rate: For amounts at any time outstanding up to $1,000,000, a variable rate equal to 200 basis points above the variable interest rate applicable to Payee?s credit line with First Choice Bank. For amounts at any time outstanding in excess of $1 |
|
| December 13, 2016 |
hgbl-8k20161209.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 December 13, 2016 (December 9, 2016) Date of report (Date of earliest event reported) HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in its Charter) FLORIDA (State or Other Jurisdiction of Incorpo |
|
| November 7, 2016 |
hgbl-s820160914.htm As filed with the Securities and Exchange Commission on November 7, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Heritage Global Inc. (Exact name of registrant as specified in its charter) FLORIDA 59-2291344 (State or Other Jurisdiction of Incorporation or Orga |
|
| November 7, 2016 |
Heritage Global 10-Q (Quarterly Report) hgbl-10q20160930.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-179 |
|
| November 4, 2016 |
hgbl-ex10216.htm Exhibit 10.2 August 17, 2016 DEAL FINANCING MEMORANDUM Deal name: Sanofi-Aventis U.S. LLC Location: Kansas City, Missouri Description: Purchase for resale of entire personal property contents of a 690,000 SF pharmaceutical manufacturing facility, including but not necessarily limited to multiple production lines and specialized equipment, laboratory equipment, processing machinery |
|
| November 4, 2016 |
Heritage Global 8-K DOVE LOANS (Current Report/Significant Event) hgbl-8k20160112.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 November 4, 2016 (January 12, 2016) Date of report (Date of earliest event reported) HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in its Charter) FLORIDA (State or Other Jurisdiction of Incorpor |
|
| November 4, 2016 |
EX-10.1 2 hgbl-ex10117.htm EX-10.1 Exhibit 10.1 January 12, 2016 DEAL FINANCING MEMORANDUM Deal name: Doctor’s Medical Center Location: San Pablo, California Description: Purchase for resale of complete contents of a hospital, including but not necessarily limited to hospital beds, test & measurement equipment, x-ray equipment, radiology, instrumentation, facility support, and mechanics (collectiv |
|
| September 15, 2016 |
Submission of Matters to a Vote of Security Holders 8-K 1 hgbl-8k20160914.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 September 15, 2016 (September 14, 2016) Date of report (Date of earliest event reported) HERITAGE GLOBAL INC. (Exact Name of Registrant as Specified in its Charter) FLORIDA (State or Other Jurisdicti |
