0001209191-21-057250.txt : 20210922 0001209191-21-057250.hdr.sgml : 20210922 20210922161754 ACCESSION NUMBER: 0001209191-21-057250 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210920 FILED AS OF DATE: 20210922 DATE AS OF CHANGE: 20210922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Weiss Warren M CENTRAL INDEX KEY: 0001399347 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211269824 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ForgeRock, Inc. CENTRAL INDEX KEY: 0001543916 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 331223363 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 MISSION STREET STREET 2: SUITE 2900 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: (415) 599-1100 MAIL ADDRESS: STREET 1: 201 MISSION STREET STREET 2: SUITE 2900 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-09-20 0 0001543916 ForgeRock, Inc. FORG 0001399347 Weiss Warren M C/O FORGEROCK, INC. 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 1 0 0 0 Common Stock 2021-09-20 4 C 0 8415644 0.00 A 8415644 I See Footnote Common Stock 2021-09-20 4 C 0 128156 0.00 A 128156 I See Footnote Common Stock 2021-09-20 4 J 0 8415644 0.00 D 0 I See Footnote Common Stock 2021-09-20 4 J 0 128156 0.00 D 0 I See Footnote Series B Preferred Stock 2021-09-20 4 C 0 6655448 0.00 D Common Stock 6655448 0 I See Footnote Series B Preferred Stock 2021-09-20 4 C 0 101352 0.00 D Common Stock 101352 0 I See Footnote Series C Preferred Stock 2021-09-20 4 C 0 1184254 0.00 D Common Stock 1184254 0 I See Footnote Series C Preferred Stock 2021-09-20 4 C 0 18034 0.00 D Common Stock 18034 0 I See Footnote Series D Preferred Stock 2021-09-20 4 C 0 371698 0.00 D Common Stock 371698 0 I See Footnote Series D Preferred Stock 2021-09-20 4 C 0 5660 0.00 D Common Stock 5660 0 I See Footnote Series E Preferred Stock 2021-09-20 4 C 0 204244 0.00 D Common Stock 204244 0 I See Footnote Series E Preferred Stock 2021-09-20 4 C 0 3110 0.00 D Common Stock 3110 0 I See Footnote Class B Common Stock 2021-09-20 4 J 0 8415644 0.00 A Class A Common Stock 8415644 8415644 I See Footnote Class B Common Stock 2021-09-20 4 J 0 128156 0.00 A Class A Common Stock 128156 128156 I See Footnote Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date. Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date. Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date. Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date. Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein. Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein. /s/ Samuel J. Fleischmann, by Power of Attorney for Warren M. Weiss 2021-09-22