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3//SEC Filing

Foundation Capital VII, L.P. 3

Accession 0000899243-21-036118

CIK 0001543916other
View on SEC.govCompany Profile

Filed

Sep 14, 8:00 PM ET

Accepted

Sep 15, 5:27 PM ET

Size

19.8 KB

Accession

0000899243-21-036118

Insider Transaction Report

Form 3
Period: 2021-09-15
ForgeRock, Inc.FORG
Foundation Capital Management Co. VII, L.L.C.
10% Owner
Holdings

  • Series B Preferred Stock

    (indirect: See Footnote)
    → Common Stock (6,655,448 underlying)

  • Series B Preferred Stock

    (indirect: See Footnote)
    → Common Stock (101,352 underlying)

  • Series C Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,184,254 underlying)

  • Series C Preferred Stock

    (indirect: See Footnote)
    → Common Stock (18,034 underlying)

  • Series D Preferred Stock

    (indirect: See Footnote)
    → Common Stock (5,660 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (204,244 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,110 underlying)

  • Series D Preferred Stock

    (indirect: See Footnote)
    → Common Stock (371,698 underlying)
Foundation Capital VII, L.P.
10% Owner
Holdings

  • Series B Preferred Stock

    (indirect: See Footnote)
    → Common Stock (6,655,448 underlying)

  • Series B Preferred Stock

    (indirect: See Footnote)
    → Common Stock (101,352 underlying)

  • Series D Preferred Stock

    (indirect: See Footnote)
    → Common Stock (371,698 underlying)

  • Series D Preferred Stock

    (indirect: See Footnote)
    → Common Stock (5,660 underlying)

  • Series C Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,184,254 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,110 underlying)

  • Series C Preferred Stock

    (indirect: See Footnote)
    → Common Stock (18,034 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (204,244 underlying)
Foundation Capital VII Principals Fund, L.L.C.
10% Owner
Holdings

  • Series B Preferred Stock

    (indirect: See Footnote)
    → Common Stock (6,655,448 underlying)

  • Series B Preferred Stock

    (indirect: See Footnote)
    → Common Stock (101,352 underlying)

  • Series C Preferred Stock

    (indirect: See Footnote)
    → Common Stock (18,034 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,110 underlying)

  • Series C Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,184,254 underlying)

  • Series D Preferred Stock

    (indirect: See Footnote)
    → Common Stock (371,698 underlying)

  • Series D Preferred Stock

    (indirect: See Footnote)
    → Common Stock (5,660 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (204,244 underlying)
Footnotes (5)
  • [F1]All shares of Series B Preferred Stock, par value $0.001 per share ("Series B Preferred Stock"), Series C Preferred Stock, par value $0.001 per share ("Series C Preferred Stock"), Series D Preferred Stock, par value $0.001 per share ("Series D Preferred Stock") and Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock"), of ForgeRock, Inc. (the "Issuer") will automatically be converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock will be reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock").
  • [F2]Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer. Each of the Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock has no expiration date.
  • [F3]Shares are held by Foundation Capital VII, L.P. Foundation Capital Management Co. VII, L.L.C. is the general partner of Foundation Capital VII, L.P. Consequently, Foundation Capital Management Co. VII, L.L.C. may be deemed to beneficially own the shares held by Foundation Capital VII, L.P.
  • [F4]Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
  • [F5]Shares are held by Foundation Capital VII Principals Fund, L.L.C. Foundation Capital Management Co. VII, L.L.C. is the manager of Foundation Capital VII Principals Fund, L.L.C. Consequently, Foundation Capital Management Co. VII, L.L.C. may be deemed to beneficially own the shares held by Foundation Capital VII Principals Fund, L.L.C.

Documents

1 file

Issuer

ForgeRock, Inc.

CIK 0001543916

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001546800

Filing Metadata

Form type
3
Filed
Sep 14, 8:00 PM ET
Accepted
Sep 15, 5:27 PM ET
Size
19.8 KB
View on SEC.gov