Forge Global Holdings, Inc. — Director's Dealing 2023

Nov 14, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Forge Global Holdings, Inc. (FRGE)
CIK: 0001827821
Period of Report: 2023-11-09

Reporting Person: Rodriques Kelly (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-11-09	Common Stock, $0.0001 par value per share	S	20000	$2.3308	Disposed	10568420	Direct
2023-11-10	Common Stock, $0.0001 par value per share	S	30000	$2.2409	Disposed	10538420	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, $0.0001 par value per share	66945	Indirect
Common Stock, $0.0001 par value per share	677733	Indirect
Common Stock, $0.0001 par value per share	1596734	Indirect

Footnotes

F1: Represents shares sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2: This transaction was executed in multiple trades at prices ranging from $2.25 to $2.41. 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 $2.17 to $2.28. 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.