0001209191-23-046064.txt : 20230816
0001209191-23-046064.hdr.sgml : 20230816
20230816171649
ACCESSION NUMBER: 0001209191-23-046064
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230814
FILED AS OF DATE: 20230816
DATE AS OF CHANGE: 20230816
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: 231179091
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
X0508
4
2023-08-14
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
2023-08-14
4
C
0
50000
A
595742
D
Class A Common Stock
2023-08-14
4
S
0
50000
21.2633
D
545742
D
Stock Option (right to buy)
3.60
2023-08-14
4
M
0
50000
0.00
D
2028-06-28
Class B Common Stock
50000
2560879
D
Class B Common Stock
2023-08-14
4
M
0
50000
0.00
A
Class A Common Stock
50000
245331
D
Class B Common Stock
2023-08-14
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 $21.05 to $21.67 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
2023-08-16