0001104659-22-068175.txt : 20220603 0001104659-22-068175.hdr.sgml : 20220603 20220603172548 ACCESSION NUMBER: 0001104659-22-068175 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220601 FILED AS OF DATE: 20220603 DATE AS OF CHANGE: 20220603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEE MARK P CENTRAL INDEX KEY: 0001276504 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39794 FILM NUMBER: 22995807 MAIL ADDRESS: STREET 1: 415 MISSION ST, SUITE 5510 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Forge Global Holdings, Inc. CENTRAL INDEX KEY: 0001827821 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 415 MISSION ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-881-1612 MAIL ADDRESS: STREET 1: 415 MISSION ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FORMER COMPANY: FORMER CONFORMED NAME: Motive Capital Corp DATE OF NAME CHANGE: 20201120 FORMER COMPANY: FORMER CONFORMED NAME: MCF2 Acquisition Corp. DATE OF NAME CHANGE: 20201009 4 1 tm2217634-3_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-06-01 0 0001827821 Forge Global Holdings, Inc. FRGE 0001276504 LEE MARK P 415 MISSION ST., SUITE 5510 SAN FRANCISCO CA 94105 0 1 0 0 Chief Financial Officer Common Stock, $0.0001 par value per share 2022-06-01 4 A 0 452113 0 A 1657259 D These shares represent restricted stock units ("RSUs") granted on June 1, 2022 under the Forge Global Holdings, Inc. 2022 Stock Option and Incentive Plan (the "Plan"). Each unit represents a right to receive one share of the Issuer's Common Stock. Subject to the Reporting Person's continued employment through each applicable vesting date, the RSUs vest as follows: (i) 1/3 of the RSUs shall vest on March 21, 2023 (the "First Tranche"), (ii) 1/3 of the RSUs shall vest on March 21, 2024 (the "Second Tranche") and (iii) 1/3 of the RSUs shall vest on March 21, 2025 (the "Third Tranche" and collectively with the First Tranche and Second Tranche, the "Time-Vesting Schedule"). Notwithstanding the Time-Vesting Schedule, the RSUs shall become eligible to earlier vesting after the expiration of the six-month period following March 21, 2022 (the "Lock-Up Period") upon the following conditions: (i) the First Tranche will immediately vest if the Issuer's stock price meets or exceeds a closing price of $12.50 for 20 trading days within any 30 trading day period following the Lock-Up Period but prior to the vesting date of the First Tranche under the Time-Vesting Schedule, in which case the Second Tranche and Third Tranche will have their time-vesting component accelerated by six months; and (ii) the Second Tranche will immediately vest if the Issuer's stock price meets or exceeds a closing price of $15.00 for 20 trading days within any 30 trading day period following the Lock-Up Period but prior to the vesting date of the Second Tranche under the Time-Vesting Schedule, in which case the Third Tranche will have its time-vesting component accelerated by an additional six months. These RSUs will vest in accordance with such vesting provisions in the event the Issuer share price triggers are achieved through the date of a "Sale Event" of the Issuer (as defined in the Plan). /s/ Mark P. Lee 2022-06-03