0001209191-21-057256.txt : 20210922 0001209191-21-057256.hdr.sgml : 20210922 20210922162900 ACCESSION NUMBER: 0001209191-21-057256 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: Angstadt Peter K Jr. CENTRAL INDEX KEY: 0001882657 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211269945 MAIL ADDRESS: STREET 1: 201 MISSION STREET STREET 2: SUITE 2900 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 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 0001882657 Angstadt Peter K Jr. C/O FORGEROCK, INC. 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 0 1 0 0 Chief Revenue Officer Stock Option (right to buy) 3.72 2021-09-20 4 J 0 345977 0.00 D 2028-12-21 Common Stock 345977 0 D Stock Option (right to buy) 3.72 2021-09-20 4 J 0 345977 0.00 A 2028-12-21 Class B Common Stock 345977 345977 D Stock Option (right to buy) 3.72 2021-09-20 4 J 0 172989 0.00 D 2028-12-21 Common Stock 172989 0 D Stock Option (right to buy) 3.72 2021-09-20 4 J 0 172989 0.00 A 2028-12-21 Class B Common Stock 172989 172989 D Stock Option (right to buy) 4.83 2021-09-20 4 J 0 100000 0.00 D 2030-02-08 Common Stock 100000 0 D Stock Option (right to buy) 4.83 2021-09-20 4 J 0 100000 0.00 A 2030-02-08 Class B Common Stock 100000 100000 D 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. Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. Option granted under the Issuer's 2012 Plan. Twenty-five percent (25%) of the shares subject to the option vested on December 17, 2019; thereafter, the remaining number of shares subject to the option vest in equal monthly installments over the following thirty-six (36) months, subject to the Reporting Person continuing as a service provider through each such date. Option granted under the Issuer's 2012 Plan and is subject to performance vesting requirements. The shares underlying this option vest, subject to the Reporting Person continuing as a service provider, upon the satisfaction of certain performance-based conditions, provided that such performance-based conditions occur prior to December 22, 2028. The performance-based conditions are based on the Issuer achieving certain performance targets. The performance-based conditions were satisfied as to 50% on July 23, 2020. Option granted under the Issuer's 2012 Plan. Twenty-five percent (25%) of the shares subject to the option vested on March 1, 2021; thereafter, the remaining number of shares subject to the option vest in equal monthly installments over the following thirty-six (36) months, subject to the Reporting Person continuing as a service provider through each such date. /s/ Samuel J. Fleischmann, by Power of Attorney for Peter K. Angstadt, Jr. 2021-09-22