0001209191-21-057249.txt : 20210922 0001209191-21-057249.hdr.sgml : 20210922 20210922161710 ACCESSION NUMBER: 0001209191-21-057249 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: Foundation Capital VII, L.P. CENTRAL INDEX KEY: 0001546800 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211269822 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211269823 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211269821 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-09-20 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 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"). Foundation Capital Management Co. VII, L.L.C. ("Management") is the general partner of FC VII and Management may be deemed to beneficially own the shares held by FC VII. 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. ("Principals"). Management is the manager of Principals and Management may be deemed to beneficially own the shares held by Principals. /s/ Foundation Capital Management Co. VII, L.L.C., by /s/ Warren M. Weiss, Manager 2021-09-22 Foundation Capital VII, L.P., by Foundation Capital Management Co. VII, L.L.C., its general partner, by /s/ Warren M. Weiss, Manager 2021-09-22 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 2021-09-22