Welcome to our dedicated page for Heritage Global SEC filings (Ticker: HGBL), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Heritage Global Inc. SEC filings document governance, shareholder voting matters and material corporate transactions for an asset-services company focused on industrial and financial assets. Proxy materials describe annual meeting procedures, shareholder voting matters and related governance disclosures.
Current event filings include material definitive agreements tied to the completed acquisition of substantially all assets and certain liabilities of The Debt Exchange by wholly owned Heritage DebtX LLC. Those records describe the acquired loan-portfolio advisory, valuation, market-data and execution-support business within Heritage Global's Financial Assets division.
Heritage Global Inc. Schedule 13G/A shows filings by Mink Brook entities and William Mueller reporting shared beneficial ownership of 2,238,256 shares of common stock as of March 31, 2026. The filing cites 34,741,553 shares outstanding (per the 10-K) and reports 6.4% ownership for Mink Brook Asset Management LLC, Mink Brook Capital GP LLC, and William Mueller, with related entities holding 3.6% and 2.9% stakes.
The filing explains that Mink Brook Capital GP LLC is general partner to the funds and Mr. Mueller is managing member, and it disclaims direct beneficial ownership except to the extent of pecuniary interest.
Heritage Global Inc. executive James Edward Sklar, EVP, General Counsel and Secretary, reported an open-market sale of 3,734 shares of common stock at a weighted average price of $1.35 per share. The transaction was made under a previously established Rule 10b5-1 trading plan and leaves him holding 261,125 shares directly.
Morgan Stanley Smith Barney filed a Form 144 disclosing proposed sales of 3,734 shares of Common stock. The filing lists prior 10b5-1 sales by James Sklar on 01/02/2026, 02/02/2026, and 03/02/2026 with amounts shown. It also notes the securities to be sold were previously exercised stock options (dated 03/30/2021).
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.
The Vanguard Group filed Amendment No. 1 to a Schedule 13G reporting no beneficial ownership of Heritage Global Inc. common stock. The filing states Amount beneficially owned: 0 and Percent of class: 0%. The filing notes an internal realignment effective January 12, 2026 and is signed on 03/27/2026.
The amendment explains certain Vanguard subsidiaries will report holdings separately in reliance on SEC Release No. 34-39538, and that The Vanguard Group, Inc. no longer is deemed to have beneficial ownership over securities held by those subsidiaries.
SHIMER SAMUEL L reported acquisition or exercise transactions in this Form 4 filing.
Heritage Global Inc. director Samuel L. Shimer reported an equity award of 20,000 shares of Common Stock on March 5, 2026. The shares are restricted and will vest in four equal 25% installments on June 5, 2026, September 5, 2026, December 5, 2026, and March 5, 2027. Following this grant, Shimer directly holds 352,500 shares of Heritage Global common stock.
Hexner Michael reported acquisition or exercise transactions in this Form 4 filing.
Heritage Global Inc. director Michael Hexner received an award of 20,000 shares of Common Stock, reported at a price of $0.0000 per share. Following this grant, his directly held position increased to 272,104 shares.
The awarded shares are restricted and will vest in four equal quarterly installments: 25% on June 5, 2026, 25% on September 5, 2026, 25% on December 5, 2026, and the remaining 25% on March 5, 2027. This structure ties the full benefit of the grant to his continued service over time.
Sinsley Barbara A reported acquisition or exercise transactions in this Form 4 filing.
Heritage Global Inc. director Barbara A. Sinsley received an award of 20,000 shares of Common Stock as equity compensation. These shares are restricted and will vest in four equal 25% installments on June 5, 2026, September 5, 2026, December 5, 2026, and March 5, 2027. After this grant, she directly holds 101,300 shares.
Burnham William L reported acquisition or exercise transactions in this Form 4 filing.
Heritage Global Inc. director William L. Burnham reported an award of 20,000 shares of common stock on March 5, 2026. The shares are restricted and will vest in four equal 25% installments on June 5, 2026, September 5, 2026, December 5, 2026, and March 5, 2027. Following this grant, Burnham directly owns 70,000 shares of Heritage Global common stock.
Heritage Global Inc. insider Ludwig Thomas Van, President of NLEX, reported his initial ownership on a Form 3. He directly holds 214,652 shares of common stock and three option awards covering 31,875, 45,000, and 40,000 underlying common shares at exercise prices of $0.70, $1.41, and $2.81, respectively. This filing records existing positions and does not show any new purchases or sales.