| 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 | +718,085 | +7.1% | $0.000000 | 10,820,576 | 29 Feb 2024 | Direct | F1 |
| transaction | FRGE | Common Stock, $0.0001 par value per share | Award | $0 | +155,034 | +1.4% | $0.000000 | 10,975,610 | 29 Feb 2024 | Direct | F2 |
| transaction | FRGE | Common Stock, $0.0001 par value per share | Sale | $44,969 | -22,434 | -0.2% | $2.00 | 10,953,176 | 01 Mar 2024 | Direct | F3, F4 |
| transaction | FRGE | Common Stock, $0.0001 par value per share | Sale | $54,462 | -27,566 | -0.25% | $1.98 | 10,925,610 | 04 Mar 2024 | Direct | F3, F5 |
| holding | FRGE | Common Stock, $0.0001 par value per share | 69,772 | 29 Feb 2024 | By Pensco Trust Co. LLC Custodian FBO Kelly Rodriques Roth IRA | ||||||
| holding | FRGE | Common Stock, $0.0001 par value per share | 1,596,734 | 29 Feb 2024 | By Operative Capital SPV I, LLC | F6 | |||||
| holding | FRGE | Common Stock, $0.0001 par value per share | 689,045 | 29 Feb 2024 | By Operative Capital LP | F6 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| 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. 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. |
| F2 | 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. |
| F3 | Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
| F4 | 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. |
| F5 | 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. |
| F6 | 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. |