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