0001209191-23-033693.txt : 20230602
0001209191-23-033693.hdr.sgml : 20230602
20230602161645
ACCESSION NUMBER: 0001209191-23-033693
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230601
FILED AS OF DATE: 20230602
DATE AS OF CHANGE: 20230602
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: 23988969
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
2023-06-01
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
0
Class A Common Stock
2023-06-01
4
C
0
2083
A
214753
D
Class A Common Stock
2023-06-01
4
S
0
2083
20.04
D
212670
D
Stock Option (right to buy)
4.83
2023-06-01
4
M
0
2083
0.00
D
2030-02-08
Class B Common Stock
2083
18750
D
Class B Common Stock
2023-06-01
4
M
0
2083
0.00
A
Class A Common Stock
2083
2083
D
Class B Common Stock
2023-06-01
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.
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.
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
2023-06-02