Home > Insider Trading > Filing (0001209191-23-036878)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1543916	Forgerock Inc.	FORG	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1496305	Alexander Ott	C/O Forgerock, Inc. 201 Mission Street, Suite 2900 San Francisco CA 94105		Yes	No	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	2023-06-09	301,000	$0.00	312,489	No	4	C	Direct
Class A Common Stock	Disposition	2023-06-09	301,000	$19.42	11,489	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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 A Common Stock	Class B Common Stock	Disposition	2023-06-09	301,000	$0.00	301,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
588,148			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.
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.
The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2023.
The sale price represents the weighted average price of the shares sold ranging from $19.12 to $19.70 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.
Includes 384,862 shares of Class B Common Stock received as a transfer from CrossContinental Ventures ("CCV") on November 21, 2021, of which the Reporting Person is the sole proprietor and which transfer is exempt from Section 16 reporting pursuant to Section 16a-13. In prior reports, the Reporting Person reported an indirect beneficial ownership of 384,862 shares of the Issuer's Class B Common Stock held by CCV.