Filing Details
- Accession Number:
- 0001628280-24-037011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-08-13 20:21:39
- Reporting Period:
- 2024-08-09
- Accepted Time:
- 2024-08-13 20:21:39
- 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 | 4 Embarcadero Center, Floor 15 San Francisco CA 94111 | 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 | 2024-08-09 | 24,562 | $1.31 | 9,164,582 | No | 4 | S | Direct | |
| Common Stock, $0.0001 Par Value Per Share | Disposition | 2024-08-12 | 108,646 | $1.23 | 9,055,936 | No | 4 | S | Direct | |
| Common Stock, $0.0001 Par Value Per Share | Disposition | 2024-08-12 | 43,372 | $0.00 | 9,012,564 | No | 4 | F | Direct | |
| Common Stock, $0.0001 Par Value Per Share | Disposition | 2024-08-13 | 74,792 | $1.27 | 8,937,772 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.0001 Par Value Per Share | 69,772 | 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 | 689,045 | Indirect | By Operative Capital LP |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $1.27 to $1.35. 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.
- This transaction was executed in multiple trades at prices ranging from $1.19 to $1.30. 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.
- 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.
- This transaction was executed in multiple trades at prices ranging from $1.20 to $1.33. 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.
- 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.
Billionaire Hedge Funds
