0001209191-23-021532.txt : 20230329 0001209191-23-021532.hdr.sgml : 20230329 20230329164458 ACCESSION NUMBER: 0001209191-23-021532 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230327 FILED AS OF DATE: 20230329 DATE AS OF CHANGE: 20230329 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: 23775774 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 X0407 4 2023-03-27 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 1 Class A Common Stock 2023-03-27 4 C 0 24521 A 115762 D Class A Common Stock 2023-03-27 4 C 0 72917 A 188679 D Class A Common Stock 2023-03-27 4 S 0 97438 20.3852 D 91241 D Stock Option (right to buy) 3.60 2023-03-27 4 M 0 24521 0.00 D 2028-03-29 Class B Common Stock 24521 0 D Class B Common Stock 2023-03-27 4 M 0 24521 0.00 A Class A Common Stock 24521 24521 D Class B Common Stock 2023-03-27 4 C 0 24521 0.00 D Class A Common Stock 24521 0 D Stock Option (right to buy) 4.83 2023-03-27 4 M 0 72917 0.00 D 2030-02-08 Class B Common Stock 72917 25000 D Class B Common Stock 2023-03-27 4 M 0 72917 0.00 A Class A Common Stock 72917 72917 D Class B Common Stock 2023-03-27 4 C 0 72917 0.00 D Class A Common Stock 72917 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 $20.31 to $20.415 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 2023-03-29