0001209191-21-057264.txt : 20210922 0001209191-21-057264.hdr.sgml : 20210922 20210922163316 ACCESSION NUMBER: 0001209191-21-057264 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: Rosch Francis C CENTRAL INDEX KEY: 0001611878 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211270014 MAIL ADDRESS: STREET 1: 350 ELLIS STREET CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 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 0001611878 Rosch Francis C C/O FORGEROCK, INC. 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 1 1 0 0 President & CEO Common Stock 2021-09-20 4 J 0 195331 0.00 D 0 D Stock Option (right to buy) 3.60 2021-09-20 4 J 0 2710879 0.00 D 2028-06-28 Common Stock 2710879 0 D Stock Option (right to buy) 3.60 2021-09-20 4 J 0 2710879 0.00 A 2028-06-28 Class B Common Stock 2710879 2710879 D Stock Option (right to buy) 4.83 2021-09-20 4 J 0 400000 0.00 D 2030-02-08 Common Stock 400000 0 D Stock Option (right to buy) 4.83 2021-09-20 4 J 0 400000 0.00 A 2030-02-08 Class B Common Stock 400000 400000 D Stock Option (right to buy) 7.86 2021-09-20 4 J 0 500000 0.00 D 2031-02-12 Common Stock 500000 0 D Stock Option (right to buy) 7.86 2021-09-20 4 J 0 500000 0.00 A 2031-02-12 Class B Common Stock 500000 500000 D Class B Common Stock 0.00 2021-09-20 4 J 0 195331 0.00 A Class A Common Stock 195331 195331 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 June 29, 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. 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. Option granted under the Issuer's 2012 Plan. Twenty-five percent (25%) of the shares subject to the option will vest on February 1, 2022; 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 Francis C. Rosch 2021-09-22