Kelly Rodriques - 10 Sep 2024 Form 4 Insider Report for Forge Global Holdings, Inc. (FRGE)

Signature
/s/ Mark P. Lee, Attorney-in-Fact
Issuer symbol
FRGE
Transactions as of
10 Sep 2024
Net transactions value
-$163,220
Form type
4
Filing time
12 Sep 2024, 18:49:25 UTC
Previous filing
09 Sep 2024
Next filing
18 Sep 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction FRGE Common Stock, $0.0001 par value per share Tax liability $0 -43,372 -0.49% $0.000000 8,744,400 10 Sep 2024 Direct F1
transaction FRGE Common Stock, $0.0001 par value per share Sale $51,164 -40,000 -0.46% $1.28 8,704,400 11 Sep 2024 Direct F2
transaction FRGE Common Stock, $0.0001 par value per share Sale $112,056 -85,000 -0.98% $1.32 8,619,400 12 Sep 2024 Direct F3
holding FRGE Common Stock, $0.0001 par value per share 69,772 10 Sep 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 10 Sep 2024 By Operative Capital SPV I, LLC F4
holding FRGE Common Stock, $0.0001 par value per share 689,045 10 Sep 2024 By Operative Capital LP F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.
F2 This transaction was executed in multiple trades at prices ranging from $1.22 to $1.32. 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.
F3 This transaction was executed in multiple trades at prices ranging from $1.28 to $1.36. 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.
F4 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.