0001209191-23-017247.txt : 20230308
0001209191-23-017247.hdr.sgml : 20230308
20230308170800
ACCESSION NUMBER: 0001209191-23-017247
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230306
FILED AS OF DATE: 20230308
DATE AS OF CHANGE: 20230308
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: 23716977
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
2023-03-06
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
2023-03-06
4
C
0
100000
A
211321
D
Class A Common Stock
2023-03-06
4
C
0
2083
A
213404
D
Class A Common Stock
2023-03-06
4
S
0
122163
20.2423
D
91241
D
Stock Option (right to buy)
3.60
2023-03-06
4
M
0
100000
0.00
D
2028-03-29
Class B Common Stock
100000
224521
D
Class B Common Stock
2023-03-06
4
M
0
100000
0.00
A
Class A Common Stock
100000
100000
D
Class B Common Stock
2023-03-06
4
C
0
100000
0.00
D
Class A Common Stock
100000
0
D
Stock Option (right to buy)
4.83
2023-03-06
4
M
0
2083
0.00
D
2030-02-08
Class B Common Stock
2083
97917
D
Class B Common Stock
2023-03-06
4
M
0
2083
0.00
A
Class A Common Stock
2083
2083
D
Class B Common Stock
2023-03-06
4
C
0
2083
0.00
D
Class A Common Stock
2083
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.
The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 1, 2022.
The sale price represents the weighted average price of the shares sold ranging from $20.185 to $20.34 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU.
This option is fully vested and immediately exercisable.
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 M. Barker
2023-03-08