0001209191-21-057263.txt : 20210922
0001209191-21-057263.hdr.sgml : 20210922
20210922163237
ACCESSION NUMBER: 0001209191-21-057263
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: Ott Alexander
CENTRAL INDEX KEY: 0001496305
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211270012
MAIL ADDRESS:
STREET 1: C/O CROSS CONTINENTAL VENTURES
STREET 2: 2122 INVERNESS LANE
CITY: BERWYN
STATE: PA
ZIP: 19312
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
0001496305
Ott Alexander
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
384862
0.00
A
384862
I
See Footnote
Common Stock
2021-09-20
4
J
0
384862
0.00
D
0
I
See Footnote
Common Stock
2021-09-20
4
J
0
504286
0.00
D
0
D
Series A Preferred Stock
2021-09-20
4
C
0
285714
0.00
D
Common Stock
285714
0
I
See Footnote
Series B Preferred Stock
2021-09-20
4
C
0
99148
0.00
D
Common Stock
99148
0
I
See Footnote
Class B Common Stock
2021-09-20
4
J
0
504286
0.00
A
Class A Common Stock
504286
504286
D
Class B Common Stock
2021-09-20
4
J
0
384862
0.00
A
Class A Common Stock
384862
384862
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 A 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 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.
Shares held by CrossContinental Ventures. Mr. Ott has sole voting and dispositive control over the shares held by CrossContinental Ventures and thus may be deemed to beneficially own the shares held by CrossContinental Ventures.
/s/ Samuel J. Fleischmann, by Power of Attorney for Alexander Ott
2021-09-22