0001628280-24-008728.txt : 20240304 0001628280-24-008728.hdr.sgml : 20240304 20240304212652 ACCESSION NUMBER: 0001628280-24-008728 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240229 FILED AS OF DATE: 20240304 DATE AS OF CHANGE: 20240304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rodriques Kelly CENTRAL INDEX KEY: 0001916605 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39794 FILM NUMBER: 24718010 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] 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_1709605604.xml FORM 4 X0508 4 2024-02-29 0 0001827821 Forge Global Holdings, Inc. FRGE 0001916605 Rodriques Kelly 4 EMBARCADERO CENTER, FLOOR 15 SAN FRANCISCO CA 94111 1 1 0 0 Chief Executive Officer 1 Common Stock, $0.0001 par value per share 2024-02-29 4 A 0 718085 0 A 10820576 D Common Stock, $0.0001 par value per share 2024-02-29 4 A 0 155034 0 A 10975610 D Common Stock, $0.0001 par value per share 2024-03-01 4 S 0 22434 2.0045 D 10953176 D Common Stock, $0.0001 par value per share 2024-03-04 4 S 0 27566 1.9757 D 10925610 D Common Stock, $0.0001 par value per share 69772 I By Pensco Trust Co. LLC Custodian FBO Kelly Rodriques Roth IRA Common Stock, $0.0001 par value per share 1596734 I By Operative Capital SPV I, LLC Common Stock, $0.0001 par value per share 689045 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. Subject to the Reporting Person's continued Service Relationship (as defined in the Plan) through each applicable vesting date, 1/36th of the RSUs shall vest in equal monthly installments starting on the one-month anniversary of January 1, 2024. These shares represent RSUs granted under the Plan that were fully vested as of the grant date. Each unit represents a right to receive one share of the Issuer's common stock. Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. This transaction was executed in multiple trades at prices ranging from $1.95 to $2.09. The price reported above reflects the volume weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. This transaction was executed in multiple trades at prices ranging from $1.92 to $2.00. The price reported above reflects the volume weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. 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 Operative LP and Operative SPV 1 except to the extent of his pecuniary interest therein, if any. /s/ Mark P. Lee, Attorney-in-Fact 2024-03-04