Initial Statement of Beneficial Ownership (3)
31 March 2022 - 7:10AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Cobos Jose |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/21/2022
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3. Issuer Name and Ticker or Trading Symbol
Forge Global Holdings, Inc. [FRGE]
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(Last)
(First)
(Middle)
415 MISSION ST., SUITE 5510 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
SAN FRANCISCO, CA 94105
(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
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Table I - Non-Derivative Securities Beneficially Owned
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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 | 1090485 (1) | D | |
Common Stock, $0.0001 par value per share | 93687 | I | By Elizabeth G. Cobos 2021 Annuity Trust |
Common Stock, $0.0001 par value per share | 93687 | I | By Jose Cobos 2021 Annuity Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 | (2) | 7/1/2031 | Common Stock, $0.0001 par value per share | 378504 | $5.434 | D | |
Explanation of Responses: |
(1) | Includes 647,241 shares of Common Stock subject to vesting restrictions (the "Unvested Shares"). The Unvested Shares vest, subject to continued service, as follows: (i) 786 Unvested Shares shall vest on the 13th day of each month beginning on April 13, 2022 over 23 months, (ii) 3,904 Unvested Shares shall vest on the 1st day of each month beginning on April 1, 2022 over 36 months, (iii) 3,332 Unvested Shares shall vest on the 11th day of each month beginning on April 11, 2022 over 35 months and (iv) 18,601 Unvested Shares shall vest on the 11th day of each month beginning on April 11, 2022 over 20 months. |
(2) | 7,856 shares underlying the Option vest on the 2nd day of each month beginning on April 2, 2021. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cobos Jose 415 MISSION ST., SUITE 5510 SAN FRANCISCO, CA 94105 |
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| Chief Operating Officer |
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Signatures
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/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. |
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