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