Filing Details

Accession Number:
0001792549-23-000007
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-04-13 18:50:27
Reporting Period:
2023-04-11
Accepted Time:
2023-04-13 18:50:27
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
849145 Heritage Global Inc. HGBL Services-Business Services, Nec (7389) 592291344
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1792547 Collin Mcbirney 544 Euclid Street
Santa Monica CA 90402
No No No Yes
1792549 Topline Capital Management, Llc 544 Euclid Street
Santa Monica CA 90402
No No No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2023-04-11 32,666 $2.84 3,825,860 No 4 S Indirect By Topline Capital Partners, LP
Common Stock Disposition 2023-04-12 9,199 $2.90 3,816,661 No 4 S Indirect By Topline Capital Partners, LP
Common Stock Disposition 2023-04-13 24,084 $2.91 3,792,577 No 4 S Indirect By Topline Capital Partners, LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Topline Capital Partners, LP
No 4 S Indirect By Topline Capital Partners, LP
No 4 S Indirect By Topline Capital Partners, LP
Footnotes
  1. The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.
  2. Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficialownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admissionthat any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
  3. The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As agreater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as theinvestment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of commonstock beneficially owned by the Fund.