| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | FRGE | Common Stock, $0.0001 par value per share | Award | $0 | +309K | +5.09% | $0.00 | 6.37M | Apr 24, 2023 | Direct | F1 |
| transaction | FRGE | Common Stock, $0.0001 par value per share | Award | $0 | +309K | +4.84% | $0.00 | 6.68M | Apr 24, 2023 | Direct | F2 |
| transaction | FRGE | Common Stock, $0.0001 par value per share | Award | $0 | +833K | +12.47% | $0.00 | 7.52M | Apr 24, 2023 | Direct | F3 |
| transaction | FRGE | Common Stock, $0.0001 par value per share | Award | $0 | +833K | +11.09% | $0.00 | 8.35M | Apr 24, 2023 | Direct | F4 |
| holding | FRGE | Common Stock, $0.0001 par value per share | 66.9K | Apr 24, 2023 | By Pensco Trust Co. LLC Custodian FBO Kelly Rodriques Roth IRA | ||||||
| holding | FRGE | Common Stock, $0.0001 par value per share | 678K | Apr 24, 2023 | By Operative Capital LP | F5, F6 | |||||
| holding | FRGE | Common Stock, $0.0001 par value per share | 1.6M | Apr 24, 2023 | By Operative Capital SPV I, LLC | F5, F7 |
| Id | Content |
|---|---|
| F1 | 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. |
| F2 | 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 Company performance conditions over the Company'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. |
| F3 | 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. |
| F4 | 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 Company 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. |
| F5 | 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. |
| F6 | On April 26, 2023, an initial Form 4 was filed that incorrectly duplicated these 677,733 shares across two rows on this table. This amendment corrects the administrative error to show these shares on one row only. |
| F7 | On April 26, 2023, an initial Form 4 was filed that incorrectly duplicated these 1,596,734 shares on two rows on this table. This amendment corrects the administrative error to show these shares on one row only. |