| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | FRGE | Common Stock, $0.0001 par value per share | Other | $0 | +11.3K | +1.67% | $0.00 | 689K | Dec 26, 2023 | By Operative Capital LP | F1, F2 |
| holding | FRGE | Common Stock, $0.0001 par value per share | 69.5K | Dec 26, 2023 | Direct | F3 | |||||
| holding | FRGE | Common Stock, $0.0001 par value per share | 1.6M | Dec 26, 2023 | By Operative Capital SPV I, LLC |
| Id | Content |
|---|---|
| F1 | Pro rata distribution from a partial release of an indemnity escrow relating to a transaction of the Issuer's predecessor completed on November 9, 2020. |
| F2 | 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. |
| F3 | All 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. |