0000899243-21-036188.txt : 20210915
0000899243-21-036188.hdr.sgml : 20210915
20210915201427
ACCESSION NUMBER: 0000899243-21-036188
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: Parks Jeffrey T
CENTRAL INDEX KEY: 0001550469
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211256606
MAIL ADDRESS:
STREET 1: C/O RIVERWOOD CAPITAL MANAGEMENT
STREET 2: 70 WILLOW ROAD STE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Riverwood Capital Partners III (Parallel - A) L.P.
CENTRAL INDEX KEY: 0001818732
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211256608
BUSINESS ADDRESS:
STREET 1: 70 WILLOW ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-618-7300
MAIL ADDRESS:
STREET 1: 70 WILLOW ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Riverwood Capital Partners III (Parallel - B) L.P.
CENTRAL INDEX KEY: 0001746848
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 211256607
BUSINESS ADDRESS:
STREET 1: 70 WILLOW ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-618-7318
MAIL ADDRESS:
STREET 1: 70 WILLOW ROAD, SUITE 100
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
0001818732
Riverwood Capital Partners III (Parallel - A) L.P.
70 WILLOW ROAD
SUITE 100
MENLO PARK
CA
94025-3652
1
0
1
0
0001746848
Riverwood Capital Partners III (Parallel - B) L.P.
70 WILLOW ROAD
SUITE 100
MENLO PARK
CA
94025-3652
1
0
1
0
0001550469
Parks Jeffrey T
70 WILLOW ROAD
SUITE 100
MENLO PARK
CA
94025-3652
1
0
1
0
Series E Preferred Stock
Common Stock
3334873
I
See Footnote
Series E Preferred Stock
Common Stock
693374
I
See Footnote
Series E Preferred Stock
Common Stock
1155624
I
See Footnote
Series E-1 Preferred Stock
Common Stock
1245326
I
See Footnote
Series E-1 Preferred Stock
Common Stock
258924
I
See Footnote
Series E-1 Preferred Stock
Common Stock
431539
I
See Footnote
All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 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 E Preferred Stock and Series E-1 Preferred Stock has no expiration date.
Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV 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 Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P.
Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities").
Jeffrey T. Parks is a member of the board of director of the Issuer and a member of the investment committee and a shareholder of Riverwood Capital GP III Ltd. He disclaims beneficial ownership with respect to the shares beneficially owned by the Riverwood Entities except to the extent of his pecuniary interest therein.
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-A) L.P
2021-09-15
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-B) L.P.
2021-09-15
/s/ Jeffrey T. Parks
2021-09-15