Kelly Rodriques - 29 Dec 2025 Form 4 Insider Report for Forge Global Holdings, Inc. (FRGE)

Role: Chief Executive Officer, Director
Signature: /s/ James Nevin, Attorney-in-Fact
Issuer symbol: FRGE
Transactions as of: 29 Dec 2025
Net transactions value: $0
Form type: 4
Filing time: 31 Dec 2025, 16:15:46 UTC
Previous filing: 29 Dec 2025
Next filing: 14 Jan 2026
SEC: View on sec.gov

Reporting Owners (1)

Name	Relationship	Address	Signature	Signature date	CIK
Rodriques Kelly	Chief Executive Officer, Director	4 EMBARCADERO CENTER, FLOOR 15, SAN FRANCISCO	/s/ James Nevin, Attorney-in-Fact	31 Dec 2025	0001916605

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	-19,519	-4.4%	$0.000000	421,699	29 Dec 2025	Direct	F1, F2
holding	FRGE	Common Stock, $0.0001 par value per share						4,718	29 Dec 2025	By Forge Trust Co CFBO Kelly Rodriques Roth IRA

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	In connection with that certain Agreement and Plan of Merger, dated as of November 5, 2025 (the "Merger Agreement"), entered into by and among the Issuer, The Charles Schwab Corporation, a Delaware corporation ("Schwab"), and Ember-Falcon Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Schwab, the Board of Directors of the Issuer approved the acceleration of the payment of certain equity awards to mitigate certain adverse tax consequences under Sections 280G or 4999 of the Internal Revenue Code of 1986, as amended, that could arise in connection with the anticipated transactions under the Merger Agreement. The tax withholding reported in this Form 4 relates to the accelerated settlement of an equity award that was contingent upon the Reporting Person's agreement to repay accelerated compensation amounts under certain conditions.
F2	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.

Content

In connection with that certain Agreement and Plan of Merger, dated as of November 5, 2025 (the "Merger Agreement"), entered into by and among the Issuer, The Charles Schwab Corporation, a Delaware corporation ("Schwab"), and Ember-Falcon Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Schwab, the Board of Directors of the Issuer approved the acceleration of the payment of certain equity awards to mitigate certain adverse tax consequences under Sections 280G or 4999 of the Internal Revenue Code of 1986, as amended, that could arise in connection with the anticipated transactions under the Merger Agreement. The tax withholding reported in this Form 4 relates to the accelerated settlement of an equity award that was contingent upon the Reporting Person's agreement to repay accelerated compensation amounts under certain conditions.

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.