Filing Details
- Accession Number:
- 0001209191-23-017247
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-08 17:08:00
- Reporting Period:
- 2023-03-06
- Accepted Time:
- 2023-03-08 17:08:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1543916 | Forgerock Inc. | FORG | Services-Prepackaged Software (7372) | 331223363 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1612102 | M Peter Barker | C/O Forgerock, Inc. 201 Mission Street, Suite 2900 San Francisco CA 94105 | Chief Product Officer & Evp | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2023-03-06 | 100,000 | $0.00 | 211,321 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2023-03-06 | 2,083 | $0.00 | 213,404 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2023-03-06 | 122,163 | $20.24 | 91,241 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Stock Option (right to buy) | Disposition | 2023-03-06 | 100,000 | $0.00 | 100,000 | $3.60 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2023-03-06 | 100,000 | $0.00 | 100,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2023-03-06 | 100,000 | $0.00 | 100,000 | $0.00 |
| Class B Common Stock | Stock Option (right to buy) | Disposition | 2023-03-06 | 2,083 | $0.00 | 2,083 | $4.83 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2023-03-06 | 2,083 | $0.00 | 2,083 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2023-03-06 | 2,083 | $0.00 | 2,083 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 224,521 | 2028-03-29 | No | 4 | M | Direct | |
| 100,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 97,917 | 2030-02-08 | No | 4 | M | Direct | |
| 2,083 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date.
- The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 1, 2022.
- The sale price represents the weighted average price of the shares sold ranging from $20.185 to $20.34 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU.
- This option is fully vested and immediately exercisable.
- Twenty-five percent (25%) of the shares subject to the option vested on March 1, 2021; thereafter, the remaining number of shares subject to the option vest in equal monthly installments over the following thirty-six (36) months, subject to the Reporting Person continuing as a service provider through each such date.
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