Filing Details

Accession Number:
0001628280-23-040971
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-12-06 21:12:35
Reporting Period:
2023-12-04
Accepted Time:
2023-12-06 21:12:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1827821 Forge Global Holdings Inc. FRGE Security & Commodity Brokers, Dealers, Exchanges & Services (6200) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1916605 Kelly Rodriques 415 Mission St., Suite 5510
San Francisco CA 94105
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.0001 Par Value Per Share Disposition 2023-12-04 50,000 $3.15 10,488,420 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.0001 Par Value Per Share 66,945 Indirect By Pensco Trust Co. LLC Custodian FBO Kelly Rodriques Roth IRA
Common Stock, $0.0001 Par Value Per Share 1,596,734 Indirect By Operative Capital SPV I, LLC
Common Stock, $0.0001 Par Value Per Share 677,733 Indirect By Operative Capital LP
Footnotes
  1. Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
  2. This transaction was executed in multiple trades at prices ranging from $3.03 to $3.30. 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.
  3. 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.