Heritage Global director granted 20,000 HGBL shares

Sharpe Kelly S reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Sharpe Kelly S reported acquisition or exercise transactions in this Form 4 filing.

Heritage Global Inc. director Kelly S. Sharpe received an award of 20,000 shares of Common Stock as equity compensation. The shares were granted at no cash cost to her and are restricted, vesting in four equal quarterly installments on June 5, 2026, September 5, 2026, December 5, 2026, and March 5, 2027. Following this grant, she holds 95,800 shares of Heritage Global Inc. common stock directly.

Insider Trade Summary

Grant/Award: 20,000 shares

Grant/Award 1 txn

Insider Sharpe Kelly S

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	20,000	$0.00	$0.00

Holdings After Transaction: Common Stock — 95,800 shares (Direct)

Footnotes (1)

1. F1. These shares are restricted and will vest quarterly with 25% vesting on June 5, 2026; 25% vesting on September 5, 2026; 25% vesting on December 5, 2026; and 25% vesting on March 5, 2027

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Heritage Global Inc. (HGBL) report for Kelly S. Sharpe?

Heritage Global Inc. reported that director Kelly S. Sharpe received a grant of 20,000 shares of restricted Common Stock. This is classified as a grant, award, or other acquisition, rather than an open-market purchase or sale.

How will the 20,000 restricted shares for HGBL director Kelly S. Sharpe vest?

The 20,000 restricted shares will vest in four equal quarterly installments. Vesting dates are June 5, 2026, September 5, 2026, December 5, 2026, and March 5, 2027, with 25% of the grant vesting on each date.

What are Kelly S. Sharpe’s total Heritage Global Inc. (HGBL) holdings after this grant?

After the equity award, director Kelly S. Sharpe directly owns 95,800 shares of Heritage Global Inc. Common Stock. This figure reflects her position immediately following the grant of 20,000 restricted shares reported in the Form 4 filing.

Was the Heritage Global Inc. (HGBL) insider transaction a market buy or sell?

The filing classifies the transaction as a grant, award, or other acquisition of 20,000 restricted shares, not an open-market buy or sell. The transaction price per share is listed as $0.00, indicating compensation rather than a cash trade.

Does the HGBL Form 4 show any derivative securities or option exercises for Kelly S. Sharpe?

The Form 4 data show no derivative transactions for Kelly S. Sharpe in this filing. The derivativeSummary is empty, and the transaction_code A relates solely to a non-derivative grant of Common Stock as restricted shares.

How is ownership type reported for Kelly S. Sharpe’s new HGBL shares?

The filing reports the 20,000 restricted shares as held with direct ownership, coded as “D.” There is no indication that these shares are held through a trust, LLC, or other indirect entity, and no footnote disclaiming beneficial ownership.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/27/2026 - 10:33 AM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Sharpe Kelly S

(Last) (First) (Middle)

6130 NANCY RIDGE DRIVE

(Street)

SAN DIEGO CALIFORNIA 92121

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Heritage Global Inc. [ HGBL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/05/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/05/2026		A		20,000(1)	A	$0	95,800	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These shares are restricted and will vest quarterly with 25% vesting on June 5, 2026; 25% vesting on September 5, 2026; 25% vesting on December 5, 2026; and 25% vesting on March 5, 2027

	/s/ Kelly Sharpe by James E. Sklar POA	03/27/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)