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3/A//SEC Filing

Riverwood Capital Partners III (Parallel - A) L.P. 3/A

Accession 0000899243-21-036966

CIK 0001543916other
View on SEC.govCompany Profile

Filed

Sep 20, 8:00 PM ET

Accepted

Sep 21, 9:51 PM ET

Size

23.4 KB

Accession

0000899243-21-036966

Insider Transaction Report

Form 3/AAmended
Period: 2021-09-15
ForgeRock, Inc.FORG
Riverwood Capital Partners III (Parallel - A) L.P.
Director10% Owner
Holdings

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (693,374 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,155,624 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,245,326 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,334,873 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (258,924 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (431,539 underlying)
RCP III AIV L.P.
10% Owner
Holdings

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (693,374 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,245,326 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (258,924 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,334,873 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,155,624 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (431,539 underlying)
Parks Jeffrey T
Director10% Owner
Holdings

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,334,873 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,245,326 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (431,539 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (693,374 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,155,624 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (258,924 underlying)
Riverwood Capital III L.P.
10% Owner
Holdings

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,245,326 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,155,624 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (258,924 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,334,873 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (693,374 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (431,539 underlying)
Riverwood Capital Partners III (Parallel - B) L.P.
Director10% Owner
Holdings

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (258,924 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (431,539 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,155,624 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,245,326 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,334,873 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (693,374 underlying)
Riverwood Capital GP III Ltd.
10% Owner
Holdings

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (431,539 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (3,334,873 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (693,374 underlying)

  • Series E Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,155,624 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (1,245,326 underlying)

  • Series E-1 Preferred Stock

    (indirect: See Footnote)
    → Common Stock (258,924 underlying)
Footnotes (6)
  • [F1]All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 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 E Preferred Stock and Series E-1 Preferred Stock has no expiration date.
  • [F3]Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV 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 Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P.
  • [F6]Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities").

Documents

1 file

Issuer

ForgeRock, Inc.

CIK 0001543916

→
Entity typeother
IncorporatedOntario, Canada

Related Parties

1
  • filerCIK 0001818732

Filing Metadata

Form type
3/A
Filed
Sep 20, 8:00 PM ET
Accepted
Sep 21, 9:51 PM ET
Size
23.4 KB
View on SEC.gov