Home/Filings/4/0000899243-21-037917

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Riverwood Capital Partners III (Parallel - A) L.P. 4

Accession 0000899243-21-037917

CIK 0001543916other

View on SEC.gov Company Profile

Filed

Sep 26, 8:00 PM ET

Accepted

Sep 27, 9:32 PM ET

Size

53.4 KB

Accession

0000899243-21-037917

Insider Transaction Report

Form 4

Period: 2021-09-20

ForgeRock, Inc.FORG

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

Director10% Owner

Transactions

Conversion
Common Stock
2021-09-20+1,155,624→ 1,155,624 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−4,580,199→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−3,334,873→ 0 total(indirect: See Footnote)
→ Common Stock (3,334,873 underlying)
Conversion
Common Stock
2021-09-20+3,334,873→ 3,334,873 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+693,374→ 693,374 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−693,374→ 0 total(indirect: See Footnote)
→ Common Stock (693,374 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−1,245,326→ 0 total(indirect: See Footnote)
→ Common Stock (1,245,326 underlying)
Conversion
Common Stock
2021-09-20+431,539→ 1,587,163 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−1,155,624→ 0 total(indirect: See Footnote)
→ Common Stock (1,155,624 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−258,924→ 0 total(indirect: See Footnote)
→ Common Stock (258,924 underlying)
Other
Common Stock
2021-09-20−1,587,163→ 0 total(indirect: See Footnote)
Other
Class B Common Stock
2021-09-20+4,580,199→ 4,580,199 total(indirect: See Footnote)
→ Class A Common Stock (4,580,199 underlying)
Other
Common Stock
2021-09-20−952,298→ 0 total(indirect: See Footnote)
Conversion
Series E-1 Preferred Stock
2021-09-20−431,539→ 0 total(indirect: See Footnote)
→ Common Stock (431,539 underlying)
Other
Class B Common Stock
2021-09-20+952,298→ 952,298 total(indirect: See Footnote)
→ Class A Common Stock (952,298 underlying)
Other
Class B Common Stock
2021-09-20+1,587,163→ 1,587,163 total(indirect: See Footnote)
→ Class A Common Stock (1,587,163 underlying)
Conversion
Common Stock
2021-09-20+1,245,326→ 4,580,199 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+258,924→ 952,298 total(indirect: See Footnote)

Riverwood Capital III L.P.

10% Owner

Transactions

Conversion
Series E Preferred Stock
2021-09-20−1,155,624→ 0 total(indirect: See Footnote)
→ Common Stock (1,155,624 underlying)
Other
Class B Common Stock
2021-09-20+952,298→ 952,298 total(indirect: See Footnote)
→ Class A Common Stock (952,298 underlying)
Conversion
Common Stock
2021-09-20+3,334,873→ 3,334,873 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+693,374→ 693,374 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+258,924→ 952,298 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−952,298→ 0 total(indirect: See Footnote)
Conversion
Series E-1 Preferred Stock
2021-09-20−431,539→ 0 total(indirect: See Footnote)
→ Common Stock (431,539 underlying)
Other
Common Stock
2021-09-20−1,587,163→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−693,374→ 0 total(indirect: See Footnote)
→ Common Stock (693,374 underlying)
Conversion
Common Stock
2021-09-20+1,155,624→ 1,155,624 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+1,245,326→ 4,580,199 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−4,580,199→ 0 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+431,539→ 1,587,163 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−3,334,873→ 0 total(indirect: See Footnote)
→ Common Stock (3,334,873 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−1,245,326→ 0 total(indirect: See Footnote)
→ Common Stock (1,245,326 underlying)
Other
Class B Common Stock
2021-09-20+4,580,199→ 4,580,199 total(indirect: See Footnote)
→ Class A Common Stock (4,580,199 underlying)
Other
Class B Common Stock
2021-09-20+1,587,163→ 1,587,163 total(indirect: See Footnote)
→ Class A Common Stock (1,587,163 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−258,924→ 0 total(indirect: See Footnote)
→ Common Stock (258,924 underlying)

Riverwood Capital GP III Ltd.

10% Owner

Transactions

Conversion
Common Stock
2021-09-20+1,245,326→ 4,580,199 total(indirect: See Footnote)
Other
Class B Common Stock
2021-09-20+952,298→ 952,298 total(indirect: See Footnote)
→ Class A Common Stock (952,298 underlying)
Conversion
Common Stock
2021-09-20+1,155,624→ 1,155,624 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+431,539→ 1,587,163 total(indirect: See Footnote)
Other
Class B Common Stock
2021-09-20+4,580,199→ 4,580,199 total(indirect: See Footnote)
→ Class A Common Stock (4,580,199 underlying)
Conversion
Common Stock
2021-09-20+3,334,873→ 3,334,873 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−952,298→ 0 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−1,587,163→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−693,374→ 0 total(indirect: See Footnote)
→ Common Stock (693,374 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−258,924→ 0 total(indirect: See Footnote)
→ Common Stock (258,924 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−431,539→ 0 total(indirect: See Footnote)
→ Common Stock (431,539 underlying)
Other
Class B Common Stock
2021-09-20+1,587,163→ 1,587,163 total(indirect: See Footnote)
→ Class A Common Stock (1,587,163 underlying)
Conversion
Common Stock
2021-09-20+693,374→ 693,374 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+258,924→ 952,298 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−4,580,199→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−3,334,873→ 0 total(indirect: See Footnote)
→ Common Stock (3,334,873 underlying)
Conversion
Series E Preferred Stock
2021-09-20−1,155,624→ 0 total(indirect: See Footnote)
→ Common Stock (1,155,624 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−1,245,326→ 0 total(indirect: See Footnote)
→ Common Stock (1,245,326 underlying)

RCP III AIV L.P.

10% Owner

Transactions

Conversion
Common Stock
2021-09-20+1,155,624→ 1,155,624 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+258,924→ 952,298 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−1,587,163→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−3,334,873→ 0 total(indirect: See Footnote)
→ Common Stock (3,334,873 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−1,245,326→ 0 total(indirect: See Footnote)
→ Common Stock (1,245,326 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−258,924→ 0 total(indirect: See Footnote)
→ Common Stock (258,924 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−431,539→ 0 total(indirect: See Footnote)
→ Common Stock (431,539 underlying)
Conversion
Common Stock
2021-09-20+3,334,873→ 3,334,873 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+1,245,326→ 4,580,199 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−4,580,199→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−693,374→ 0 total(indirect: See Footnote)
→ Common Stock (693,374 underlying)
Conversion
Series E Preferred Stock
2021-09-20−1,155,624→ 0 total(indirect: See Footnote)
→ Common Stock (1,155,624 underlying)
Other
Class B Common Stock
2021-09-20+952,298→ 952,298 total(indirect: See Footnote)
→ Class A Common Stock (952,298 underlying)
Conversion
Common Stock
2021-09-20+693,374→ 693,374 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+431,539→ 1,587,163 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−952,298→ 0 total(indirect: See Footnote)
Other
Class B Common Stock
2021-09-20+4,580,199→ 4,580,199 total(indirect: See Footnote)
→ Class A Common Stock (4,580,199 underlying)
Other
Class B Common Stock
2021-09-20+1,587,163→ 1,587,163 total(indirect: See Footnote)
→ Class A Common Stock (1,587,163 underlying)

Riverwood Capital Partners III (Parallel - B) L.P.

Director10% Owner

Transactions

Conversion
Common Stock
2021-09-20+3,334,873→ 3,334,873 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+1,245,326→ 4,580,199 total(indirect: See Footnote)
Conversion
Series E-1 Preferred Stock
2021-09-20−431,539→ 0 total(indirect: See Footnote)
→ Common Stock (431,539 underlying)
Conversion
Common Stock
2021-09-20+258,924→ 952,298 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−952,298→ 0 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−1,587,163→ 0 total(indirect: See Footnote)
Conversion
Series E-1 Preferred Stock
2021-09-20−258,924→ 0 total(indirect: See Footnote)
→ Common Stock (258,924 underlying)
Conversion
Common Stock
2021-09-20+1,155,624→ 1,155,624 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−4,580,199→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−3,334,873→ 0 total(indirect: See Footnote)
→ Common Stock (3,334,873 underlying)
Conversion
Common Stock
2021-09-20+693,374→ 693,374 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−1,155,624→ 0 total(indirect: See Footnote)
→ Common Stock (1,155,624 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−1,245,326→ 0 total(indirect: See Footnote)
→ Common Stock (1,245,326 underlying)
Other
Class B Common Stock
2021-09-20+952,298→ 952,298 total(indirect: See Footnote)
→ Class A Common Stock (952,298 underlying)
Conversion
Common Stock
2021-09-20+431,539→ 1,587,163 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−693,374→ 0 total(indirect: See Footnote)
→ Common Stock (693,374 underlying)
Other
Class B Common Stock
2021-09-20+4,580,199→ 4,580,199 total(indirect: See Footnote)
→ Class A Common Stock (4,580,199 underlying)
Other
Class B Common Stock
2021-09-20+1,587,163→ 1,587,163 total(indirect: See Footnote)
→ Class A Common Stock (1,587,163 underlying)

Parks Jeffrey T

Director10% Owner

Transactions

Conversion
Common Stock
2021-09-20+1,155,624→ 1,155,624 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+258,924→ 952,298 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−1,587,163→ 0 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+431,539→ 1,587,163 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−4,580,199→ 0 total(indirect: See Footnote)
Conversion
Series E-1 Preferred Stock
2021-09-20−258,924→ 0 total(indirect: See Footnote)
→ Common Stock (258,924 underlying)
Conversion
Series E Preferred Stock
2021-09-20−3,334,873→ 0 total(indirect: See Footnote)
→ Common Stock (3,334,873 underlying)
Conversion
Series E Preferred Stock
2021-09-20−693,374→ 0 total(indirect: See Footnote)
→ Common Stock (693,374 underlying)
Other
Class B Common Stock
2021-09-20+4,580,199→ 4,580,199 total(indirect: See Footnote)
→ Class A Common Stock (4,580,199 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−1,245,326→ 0 total(indirect: See Footnote)
→ Common Stock (1,245,326 underlying)
Conversion
Common Stock
2021-09-20+3,334,873→ 3,334,873 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+693,374→ 693,374 total(indirect: See Footnote)
Conversion
Common Stock
2021-09-20+1,245,326→ 4,580,199 total(indirect: See Footnote)
Other
Common Stock
2021-09-20−952,298→ 0 total(indirect: See Footnote)
Conversion
Series E Preferred Stock
2021-09-20−1,155,624→ 0 total(indirect: See Footnote)
→ Common Stock (1,155,624 underlying)
Conversion
Series E-1 Preferred Stock
2021-09-20−431,539→ 0 total(indirect: See Footnote)
→ Common Stock (431,539 underlying)
Other
Class B Common Stock
2021-09-20+1,587,163→ 1,587,163 total(indirect: See Footnote)
→ Class A Common Stock (1,587,163 underlying)
Other
Class B Common Stock
2021-09-20+952,298→ 952,298 total(indirect: See Footnote)
→ Class A Common Stock (952,298 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") automatically 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 were 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 the 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 and upon certain other conditions.
[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

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

ForgeRock, Inc.

CIK 0001543916

→

Entity typeother

IncorporatedOntario, Canada

Related Parties

filerCIK 0001818732

Filing Metadata

Form type: 4
Filed: Sep 26, 8:00 PM ET
Accepted: Sep 27, 9:32 PM ET
Size: 53.4 KB

View on SEC.gov