Initial Statement of Beneficial Ownership (3)
31 March 2022 - 7:07AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
McLaughlin Steven J. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/21/2022
|
3. Issuer Name and Ticker or Trading Symbol
Forge Global Holdings, Inc. [FRGE]
|
(Last)
(First)
(Middle)
1521 ALTON RD, #345 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Street)
MIAMI BEACH, FL 33139
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.0001 par value per share | 5859595 | I | See Footnote (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options | 7/30/2021 | 7/30/2031 | Common Stock, $0.0001 par value per share | 62458 | $5.434 | D | |
Warrants | 6/25/2020 | 6/25/2025 | Common Stock, $0.0001 par value per share | 18862 | $3.98 | I | See Footenote (2) |
Explanation of Responses: |
(1) | Includes 5,859,595 shares of Common Stock held by FTP Equidate LLC. Mr. McLaughlin owns 99.25% of FTP Equidate LLC through the Steven J. McLaughlin Revocable Trust, of which he is the sole trustee. Mr. McLaughlin disclaims beneficial ownership of all securities held by FTP Equidate except to the extent of his pecuniary interest therein. |
(2) | Includes warrants held by FTP Credit Holdings LLC. Mr. McLaughlin is the beneficial owner of FTP Credit Holdings LLC. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McLaughlin Steven J. 1521 ALTON RD, #345 MIAMI BEACH, FL 33139 | X |
|
|
|
Signatures
|
/s/ Norbert Ngethe, Attorney-in-Fact | | 3/30/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Forge Global (NYSE:FRGE)
Historical Stock Chart
From Jun 2024 to Jul 2024
Forge Global (NYSE:FRGE)
Historical Stock Chart
From Jul 2023 to Jul 2024