Filing Details

Accession Number:
0001209191-23-036878
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-06-13 19:29:02
Reporting Period:
2023-06-09
Accepted Time:
2023-06-13 19:29:02
SEC Url:
Form 4 Filing
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.