Chief Revenue & Growth Officer Phillips Jennifer was granted 94,117 shares, increasing direct ownership by 13% to 800,804 units (SEC Form 4)

$FRGE
Investment Bankers/Brokers/Service
Finance
Get the next $FRGE alert in real time by email
SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Phillips Jennifer

(Last) (First) (Middle)
4 EMBARCADERO CENTER, FLOOR 15

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Forge Global Holdings, Inc. [ FRGE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Revenue & Growth Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/22/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.0001 par value per share 01/22/2025 A 94,117(1) A $0 800,804 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents the acquisition of shares upon the certification of the Compensation Committee of the Board of Directors of the Issuer that the performance conditions were met with respect to performance-based restricted stock units ("RSUs") granted to the Reporting Person on April 11, 2024 under the Forge Global Holdings, Inc. 2022 Stock Option and Incentive Plan (the "Plan"). 1/3rd of the RSUs vested on the certification date. Subject to the Reporting Person's continued Service Relationship (as defined in the Plan) through each applicable vesting date, the remaining RSUs will vest in 24 equal monthly installments starting on the one-month anniversary of January 1, 2025.
Remarks:
/s/ Mark P. Lee, Attorney-in-Fact 01/24/2025
** 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 4 (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 Number.
Get the next $FRGE alert in real time by email

Chat with this insight

Save time and jump to the most important pieces.

Recent Analyst Ratings for
$FRGE

DatePrice TargetRatingAnalyst
1/7/2025Neutral → Underweight
Analyst
9/3/2024$3.00Neutral → Buy
UBS
1/5/2023Neutral
JP Morgan
11/30/2022$1.75Neutral
UBS
11/22/2022$1.75Neutral
Piper Sandler
8/26/2022$10.00Mkt Outperform
JMP Securities
8/26/2022Mkt Perform
William Blair
More analyst ratings

$FRGE
Press Releases

Fastest customizable press release news feed in the world

See more
  • Forge Global Holdings, Inc. to Report Fourth Quarter and Full Year Fiscal 2024 Financial Results on March 5th, 2025

    Forge Global Holdings, Inc. ("Forge") (NYSE:FRGE), a leading global private securities marketplace, announced today that it will report its Fourth Quarter and Full Year Fiscal 2024 Financial Results on Wednesday, March 5th, 2025. Management will host a conference call and webcast at 4:30 p.m. Eastern Time / 1:30 p.m. Pacific Time, following the release of its earnings materials and investor supplemental, to discuss Forge's financial and business results for the above period. What: Forge Global Holdings, Inc. - Fourth Quarter and Full Year Fiscal 2024 Financial Results Conference Call When: Wednesday, March 5th, 2025 Time: 4:30 p.m. Eastern Time / 1:30 p.m. Pacific Time Dial-In: To

    $FRGE
    Investment Bankers/Brokers/Service
    Finance
  • Forge Global Names Former London Stock Exchange Group Executive James Nevin as New CFO

    Forge Global Holdings, Inc. ("Forge," or the "Company") (NYSE:FRGE), a leading global private securities marketplace, today announced the appointment of former London Stock Exchange Group (LSEG) executive James Nevin as its new CFO, effective January 20, 2025. Mr. Nevin will succeed CFO Mark Lee, who has held the role since 2018. Mr. Lee will continue to contribute his expertise to Forge, overseeing strategic financial and wealth initiatives as Chief of Strategic Wealth Solutions and supporting the successful transition of Mr. Nevin as Forge's new CFO. "Driving our growth strategy and achieving profitability are critical to our future," said Forge CEO Kelly Rodriques. "James Nevin's deep

    $FRGE
    Investment Bankers/Brokers/Service
    Finance
  • Forge Global Receives Continued Listing Standards Notice from the NYSE

    Forge Global Holdings, Inc. ("Forge," or the "Company") (NYSE:FRGE), a leading private securities marketplace, was notified on December 31, 2024 by the New York Stock Exchange ("NYSE") that the Company is not in compliance with Rule 802.01C of the NYSE's Listed Company Manual ("Rule 802.01C") relating to the minimum average share price. Rule 802.01C requires that a company's common stock trade at a minimum average closing price of $1.00 over a consecutive 30 trading-day period. The notice has no immediate impact on the listing of the Company's common stock on the NYSE during the six-month cure period. The Company intends to notify the NYSE within 10 business days of its intent to regain c

    $FRGE
    Investment Bankers/Brokers/Service
    Finance

$FRGE
Analyst Ratings

Analyst ratings in real time. Analyst ratings have a very high impact on the underlying stock. See them live in this feed.

See more

$FRGE
Insider Trading

Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

See more

$FRGE
SEC Filings

See more

$FRGE
Leadership Updates

Live Leadership Updates

See more
  • Forge Global Names Former London Stock Exchange Group Executive James Nevin as New CFO

    Forge Global Holdings, Inc. ("Forge," or the "Company") (NYSE:FRGE), a leading global private securities marketplace, today announced the appointment of former London Stock Exchange Group (LSEG) executive James Nevin as its new CFO, effective January 20, 2025. Mr. Nevin will succeed CFO Mark Lee, who has held the role since 2018. Mr. Lee will continue to contribute his expertise to Forge, overseeing strategic financial and wealth initiatives as Chief of Strategic Wealth Solutions and supporting the successful transition of Mr. Nevin as Forge's new CFO. "Driving our growth strategy and achieving profitability are critical to our future," said Forge CEO Kelly Rodriques. "James Nevin's deep

    $FRGE
    Investment Bankers/Brokers/Service
    Finance
  • Forge Global Appoints Capital Markets Veteran Larry Leibowitz to its Board of Directors

    Forge Global Holdings, Inc. (NYSE:FRGE) ("Forge"), a global private securities marketplace, announced today the appointment of Larry Leibowitz to its Board of Directors, as well as its Compensation Committee. Mr. Leibowitz brings to Forge decades of entrepreneurial and corporate leadership experience in capital markets, financial technology and asset management. He is currently the CEO of Entrypoint Capital, a quantitative investment management firm, and has also held executive and board positions at a myriad of other companies in the financial services and investment sectors, including as the Chief Operating Officer, Head of Global Equities Markets, and Member of the Board of Directors o

    $CNDA
    $CNDB
    $ENFN
    $FRGE
    Blank Checks
    Finance
    Computer Software: Prepackaged Software
    Technology
  • Forge To Accelerate Product Vision and Commercial Strategy with Executive Appointment of James Brooks

    Brooks brings deep innovative commercial, product and operations experience from executive roles at ICE, the New York Stock Exchange and NASDAQ OMX Group Forge Global Holdings, Inc. ("Forge") (NYSE:FRGE), a leading provider of marketplace infrastructure, data services and technology solutions for private market participants, today announced that James Brooks has joined Forge as Chief Product Officer and Commercial Officer. In this dual role, Brooks will be responsible for product vision and commercial strategy, overseeing the product, design and data organizations, and driving the acceleration and advancement of Forge's business. Brooks will be based in Forge's New York office. Brooks i

    $FRGE
    Investment Bankers/Brokers/Service
    Finance

$FRGE
Financials

Live finance-specific insights

See more
  • Forge Global Holdings, Inc. to Report Fourth Quarter and Full Year Fiscal 2024 Financial Results on March 5th, 2025

    Forge Global Holdings, Inc. ("Forge") (NYSE:FRGE), a leading global private securities marketplace, announced today that it will report its Fourth Quarter and Full Year Fiscal 2024 Financial Results on Wednesday, March 5th, 2025. Management will host a conference call and webcast at 4:30 p.m. Eastern Time / 1:30 p.m. Pacific Time, following the release of its earnings materials and investor supplemental, to discuss Forge's financial and business results for the above period. What: Forge Global Holdings, Inc. - Fourth Quarter and Full Year Fiscal 2024 Financial Results Conference Call When: Wednesday, March 5th, 2025 Time: 4:30 p.m. Eastern Time / 1:30 p.m. Pacific Time Dial-In: To

    $FRGE
    Investment Bankers/Brokers/Service
    Finance
  • Forge Global Holdings, Inc. Reports Third Quarter Fiscal Year 2024 Results

    Total Revenue, Less Transaction-Based Expenses of $19.1 million in 3Q24, up 4% over the year-ago quarter Total Marketplace Revenues, Less Transaction-Based Expenses of $8.6 million in 3Q24, up 21% over the year-ago quarter Trading Volume of $338.1 million in 3Q24, up 44% over the year-ago quarter Forge announces Forge Price and the Private Magnificent 7 Forge Global Holdings, Inc. ("Forge," or the "Company") (NYSE:FRGE), a leading private securities marketplace, today announced its financial results for the quarter ended September 30, 2024. "In Q3, we remained focused on technology and product innovations that expand access and improve the experience for all participants in the pr

    $FRGE
    Investment Bankers/Brokers/Service
    Finance
  • Forge Global Holdings, Inc. to Report Third Quarter 2024 Financial Results on November 6th, 2024

    Forge Global Holdings, Inc. ("Forge") (NYSE:FRGE), a leading provider of marketplace infrastructure, data services and technology solutions for private market participants, announced today that it will report its Third Quarter Fiscal Year 2024 Financial Results on Wednesday, November 6th, 2024. Management will host a conference call and webcast at 4:30 p.m. Eastern Time / 1:30 p.m. Pacific Time, following the release of its earnings materials and investor supplemental, to discuss Forge's financial and business results for the third quarter of 2024. What: Forge Global Holdings, Inc. - Third Quarter Fiscal Year 2024 Financial Results Conference Call When: Wednesday, November 6th, 2024 Tim

    $FRGE
    Investment Bankers/Brokers/Service
    Finance

$FRGE
Large Ownership Changes

This live feed shows all institutional transactions in real time.

See more