0001628280-24-001734.txt : 20240118 0001628280-24-001734.hdr.sgml : 20240118 20240118203701 ACCESSION NUMBER: 0001628280-24-001734 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230424 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39794 FILM NUMBER: 24543474 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 4 1 wk-form4_1705628212.xml FORM 4 X0508 4 2023-04-24 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 0 Common Stock, $0.0001 par value per share 2023-04-24 4 A 0 92592 0 A 156420 D Common Stock, $0.0001 par value per share 2023-04-24 4 A 0 30864 0 A 187284 D Common Stock, $0.0001 par value per share 2023-04-24 4 A 0 370370 0 A 557654 D Common Stock, $0.0001 par value per share 2023-04-24 4 A 0 123456 0 A 681110 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 These shares represent restricted stock units ("RSUs") granted 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. 100% of the RSUs shall vest on January 1, 2024, subject to the Reporting Person continuing to be a service provider through such date. These shares represent RSUs granted under the Plan. Each unit represents a right to receive one share of the Issuer's Common Stock. Up to 100% of the RSUs shall vest (the "Eligible RSUs") based on the achievement of Issuer performance conditions over the Issuer's fiscal year ending December 31, 2023 (the "Fiscal Year 2023"). The Eligible RSUs shall vest no later than March 1, 2024, subject to the Reporting Person continuing to be a service provider through such date. These shares represent RSUs granted under the Plan. Each unit represents a right to receive one share of the Issuer's Common Stock. 1/3rd of the RSUs shall vest on January 1, 2024, and the remaining RSUs shall vest over 24 equal monthly installments thereafter, subject to the Reporting Person continuing to be a service provider through such date. These shares represent RSUs granted under the Plan. Each unit represents a right to receive one share of the Issuer's Common Stock. Up to 100% of the Eligible RSUs shall vest based on the achievement of Issuer performance conditions over the Fiscal Year 2023. 1/3rd of the Eligible RSUs shall vest no later than March 1, 2024 (the "Initial Vesting Date"), and the remaining Eligible RSUs shall vest over 24 equal monthly installments thereafter, subject to the Reporting Person continuing to be a service provider through each such date; provided that any monthly installments of Eligible RSUs pre-dating the Initial Vesting Date shall also vest on the Initial Vesting Date. 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. /s/ Mark P. Lee, Attorney-in-Fact 2024-01-18