0000899243-21-036118.txt : 20210915
0000899243-21-036118.hdr.sgml : 20210915
20210915172752
ACCESSION NUMBER: 0000899243-21-036118
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210915
FILED AS OF DATE: 20210915
DATE AS OF CHANGE: 20210915
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foundation Capital VII, L.P.
CENTRAL INDEX KEY: 0001546800
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211256201
BUSINESS ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650 614 0500
MAIL ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foundation Capital Management Co. VII, L.L.C.
CENTRAL INDEX KEY: 0001546802
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211256202
BUSINESS ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650 614 0500
MAIL ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foundation Capital VII Principals Fund, L.L.C.
CENTRAL INDEX KEY: 0001546801
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211256200
BUSINESS ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650 614 0500
MAIL ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
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
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2021-09-15
0
0001543916
ForgeRock, Inc.
FORG
0001546802
Foundation Capital Management Co. VII, L.L.C.
550 HIGH STREET, 3RD FLOOR
PALO ALTO
CA
94301
0
0
1
0
0001546800
Foundation Capital VII, L.P.
550 HIGH STREET, 3RD FLOOR
PALO ALTO
CA
94301
0
0
1
0
0001546801
Foundation Capital VII Principals Fund, L.L.C.
550 HIGH STREET, 3RD FLOOR
PALO ALTO
CA
94301
0
0
1
0
Series B Preferred Stock
Common Stock
6655448
I
See Footnote
Series B Preferred Stock
Common Stock
101352
I
See Footnote
Series C Preferred Stock
Common Stock
1184254
I
See Footnote
Series C Preferred Stock
Common Stock
18034
I
See Footnote
Series D Preferred Stock
Common Stock
371698
I
See Footnote
Series D Preferred Stock
Common Stock
5660
I
See Footnote
Series E Preferred Stock
Common Stock
204244
I
See Footnote
Series E Preferred Stock
Common Stock
3110
I
See Footnote
All shares of Series B Preferred Stock, par value $0.001 per share ("Series B Preferred Stock"), Series C Preferred Stock, par value $0.001 per share ("Series C Preferred Stock"), Series D Preferred Stock, par value $0.001 per share ("Series D Preferred Stock") and Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock"), of ForgeRock, Inc. (the "Issuer") will automatically be converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock will be reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B 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. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer. Each of the Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock has no expiration date.
Shares are held by Foundation Capital VII, L.P. Foundation Capital Management Co. VII, L.L.C. is the general partner of Foundation Capital VII, L.P. Consequently, Foundation Capital Management Co. VII, L.L.C. may be deemed to beneficially own the shares held by Foundation Capital VII, L.P.
Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
Shares are held by Foundation Capital VII Principals Fund, L.L.C. Foundation Capital Management Co. VII, L.L.C. is the manager of Foundation Capital VII Principals Fund, L.L.C. Consequently, Foundation Capital Management Co. VII, L.L.C. may be deemed to beneficially own the shares held by Foundation Capital VII Principals Fund, L.L.C.
Foundation Capital Management Co. VII, L.L.C., by /s/ Warren M. Weiss, Manager
2021-09-15
Foundation Capital VII, L.P., by Foundation Capital Management Co. VII, L.L.C., its general partner, by /s/ Warren M. Weiss, Manager
2021-09-15
Foundation Capital VII Principals Fund, L.L.C., by Foundation Capital Management Co. VII, L.L.C., its manager, by /s/ Warren M. Weiss, Manager
2021-09-15