0001209191-23-022444.txt : 20230403 0001209191-23-022444.hdr.sgml : 20230403 20230403211824 ACCESSION NUMBER: 0001209191-23-022444 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230401 FILED AS OF DATE: 20230403 DATE AS OF CHANGE: 20230403 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: 23794879 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 2023-04-01 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 2023-04-01 4 A 0 129032 0.00 A 220273 D Class A Common Stock 2023-04-03 4 C 0 2083 A 222356 D Class A Common Stock 2023-04-03 4 S 0 2083 20.58 D 220273 D Stock Option (right to buy) 4.83 2023-04-03 4 M 0 2083 0.00 D 2030-02-08 Class B Common Stock 2083 22917 D Class B Common Stock 2023-04-03 4 M 0 2083 0.00 A Class A Common Stock 2083 2083 D Class B Common Stock 2023-04-03 4 C 0 2083 0.00 D Class A Common Stock 2083 0 D The reported securities represent restricted stock units ("RSUs"), 25% of which will vest on May 20, 2024 and 1/16th of the RSUs shall vest quarterly thereafter in equal installments, subject to the Reporting Person's continued service through each vesting date. 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. Certain of these securities are 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. 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 2023-04-03