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