Item 5. Other Information
Item 5. Other Information.
None.
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Item 6. Exhibits.
(a) Exhibits
Exhibit No.
Identification of Exhibit
3.1
Amended and Restated Articles of Incorporation (restated for filing purposes only) (filed as Exhibit 3.1 to the Company’s Annual Report on Form 10-K filed on March 9, 2020 (File No. 000-17973), and incorporated herein by reference).
3.2
Restated Bylaws, as amended (filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on September 30, 2020 (File No. 001-39471), and incorporated herein by reference).
4.1
Warrant Agreement by and between Heritage Global Inc. and Napier Park Industrial Asset Acquisition, LP, effective as of March 19, 2019 (filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on March 25, 2019 (File No. 000-17973), and incorporated herein by reference).
10.1
Business Loan Agreement, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association
10.2
Promissory Note, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association
10.3
Commercial Security Agreement, dated May 11, 2014, by and between Heritage Global Inc. and C3bank, National Association
10.4
Pledge and Security Agreement, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association
10.5
Side Letter, dated May 5, 2021, by and between Heritage Global Inc. and C3bank, National Association
31.1
Certification of Principal Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a) as adopted under Section 302 of the Sarbanes-Oxley Act of 2002
31.2
Certification of Principal Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a) as adopted under Section 302 of the Sarbanes-Oxley Act of 2002
32.1
Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2
Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
101.INS
Inline XBRL Instance Document
101.SCH
Inline XBRL Taxonomy Extension Schema Document
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase Document
101.LAB
Inline XBRL Taxonomy Extension Labels Linkbase Document
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunder duly authorized.
Heritage Global Inc.
Date: August 12, 2021
By:
/s/ Ross Dove
Ross Dove
Chief Executive Officer
(Principal Executive Officer)
By:
/s/ Brian J. Cobb
Brian J. Cobb
Vice President of Finance and Controller
(Principal Financial Officer)
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