Steven J. McLaughlin - Mar 21, 2022 Form 3 Insider Report for Forge Global Holdings, Inc. (FRGE)

Role
Director
Signature
/s/ Norbert Ngethe, Attorney-in-Fact
Stock symbol
FRGE
Transactions as of
Mar 21, 2022
Transactions value $
$0
Form type
3
Date filed
3/30/2022, 04:06 PM
Previous filing
Dec 8, 2022
Next filing
Aug 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding FRGE Common Stock, $0.0001 par value per share 5.86M Mar 21, 2022 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding FRGE Stock Options Mar 21, 2022 Common Stock, $0.0001 par value per share 62.5K $5.43 Direct
holding FRGE Warrants Mar 21, 2022 Common Stock, $0.0001 par value per share 18.9K $3.98 See Footenote F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 5,859,595 shares of Common Stock held by FTP Equidate LLC. Mr. McLaughlin owns 99.25% of FTP Equidate LLC through the Steven J. McLaughlin Revocable Trust, of which he is the sole trustee. Mr. McLaughlin disclaims beneficial ownership of all securities held by FTP Equidate except to the extent of his pecuniary interest therein.
F2 Includes warrants held by FTP Credit Holdings LLC. Mr. McLaughlin is the beneficial owner of FTP Credit Holdings LLC.

Remarks:

Exhibit 24 - Power of Attorney