0001628280-24-001733.txt : 20240118
0001628280-24-001733.hdr.sgml : 20240118
20240118203032
ACCESSION NUMBER: 0001628280-24-001733
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230412
FILED AS OF DATE: 20240118
DATE AS OF CHANGE: 20240118
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sievers Drew
CENTRAL INDEX KEY: 0002003379
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39794
FILM NUMBER: 24543467
MAIL ADDRESS:
STREET 1: 415 MISSION ST., STE 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]
ORGANIZATION NAME: 02 Finance
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
3/A
1
wk-form3a_1705627820.xml
FORM 3/A
X0206
3/A
2023-04-12
2023-12-28
0
0001827821
Forge Global Holdings, Inc.
FRGE
0002003379
Sievers Drew
415 MISSION ST., SUITE 5510
SAN FRANCISCO
CA
94105
0
1
0
0
Chief Delivery Officer
Common Stock, $0.0001 par value per share
63828
D
Common Stock, $0.0001 par value per share
1596734
I
By Operative Capital SPV I, LLC
Common Stock, $0.0001 par value per share
677733
I
By Operative Capital LP
Stock Options
1.6299
2031-05-11
Common Stock, $0.0001 par value per share
624586
D
Warrants
3.98
2020-11-09
2025-11-09
Common Stock, $0.0001 par value per share
25083
I
By Operative Capital LP
On December 28, 2023, an initial Form 3 was filed to report the following: 69,467 of such shares represent restricted stock units ("RSUs") granted on June 1, 2022 under the Forge Global Holdings, Inc. 2022 Stock Option and Incentive 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 vest on March 21, 2023, (ii) 1/3 of the RSUs vest on March 21, 2024, and (iii) 1/3 of the RSUs vest on March 21, 2025. All RSUs that vest shall be issued on or as soon as practicable following the applicable vesting date.
This amendment is being filed solely to correct this initially reported 69,467 amount to 63,828. This reduction reflects that prior to the date of the event requiring the initial Form 3 filing, 5,639 shares had already been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of RSUs.
The Reporting Person is a managing member of the ultimate general partner of each of Operative Capital LP and Operative Capital SPV I, LLC and thus may be deemed to be the beneficial owner of the shares held by such entities. The Reporting Person disclaims beneficial ownership of all securities held by such entities except to the extent of his pecuniary interest therein, if any.
These shares represent stock options granted under the Amended and Restated Forge Global, Inc. 2018 Equity Incentive Plan. Each stock option represents a right to acquire one share of the Issuer's Common Stock. Subject to the Reporting Person's continued services to the Issuer through each applicable vesting date, 25% of the shares subject to the award vested on May 7, 2022 and the remaining shares vest thereafter in 36 equal monthly installments.
/s/ Mark P. Lee, Attorney-in-Fact
2024-01-18