0001209191-23-042091.txt : 20230712 0001209191-23-042091.hdr.sgml : 20230712 20230712163827 ACCESSION NUMBER: 0001209191-23-042091 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230711 FILED AS OF DATE: 20230712 DATE AS OF CHANGE: 20230712 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosch Francis C CENTRAL INDEX KEY: 0001611878 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 231085079 MAIL ADDRESS: STREET 1: 350 ELLIS STREET CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 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 2023-07-11 0 0001543916 ForgeRock, Inc. FORG 0001611878 Rosch Francis C C/O FORGEROCK, INC. 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 1 1 0 0 President & CEO 1 Class A Common Stock 2023-07-11 4 C 0 50000 A 595742 D Class A Common Stock 2023-07-11 4 S 0 50000 19.8435 D 545742 D Stock Option (right to buy) 3.60 2023-07-11 4 M 0 50000 0.00 D 2028-06-28 Class B Common Stock 50000 2610879 D Class B Common Stock 2023-07-11 4 M 0 50000 0.00 A Class A Common Stock 50000 245331 D Class B Common Stock 2023-07-11 4 C 0 50000 0.00 D Class A Common Stock 50000 195331 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. 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. The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023. The sale price represents the weighted average price of the shares sold ranging from $19.56 to $20.11 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. This option is fully vested and immediately exercisable. The Plan was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) in effect at the time of adoption. /s/ Samuel J. Fleischmann, by Power of Attorney for Francis C. Rosch 2023-07-12