0001209191-21-069611.txt : 20211214 0001209191-21-069611.hdr.sgml : 20211214 20211214190136 ACCESSION NUMBER: 0001209191-21-069611 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211210 FILED AS OF DATE: 20211214 DATE AS OF CHANGE: 20211214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Barker Peter M CENTRAL INDEX KEY: 0001612102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211492414 MAIL ADDRESS: STREET 1: C/O FORGEROCK, INC. STREET 2: 201 MISSION STREET, 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 2021-12-10 0 0001543916 ForgeRock, Inc. FORG 0001612102 Barker Peter M C/O FORGEROCK, INC. 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 0 1 0 0 Chief Product Officer & EVP Class A Common Stock 2021-12-10 4 C 0 9000 A 9000 D Class A Common Stock 2021-12-10 4 S 0 8190 25.90 D 810 D Class A Common Stock 2021-12-10 4 S 0 600 26.04 D 210 D Class A Common Stock 2021-12-10 4 S 0 210 26.05 D 0 D Stock Option (right to buy) 3.60 2021-12-10 4 M 0 9000 0.00 D 2028-03-29 Class B Common Stock 9000 324521 D Class B Common Stock 2021-12-10 4 M 0 9000 0.00 A Class A Common Stock 9000 9000 D Class B Common Stock 2021-12-10 4 C 0 9000 0.00 D Class A Common Stock 9000 0 D Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the reporting person's election and has no expiration date. Twenty-five percent (25%) of the shares subject to the option vested on January 22, 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. /s/ Samuel J. Fleischmann, by Power of Attorney for Peter M. Barker 2021-12-14