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

Accession 0000899243-22-006041

CIK 0001543916other

View on SEC.gov Company Profile

Filed

Feb 13, 7:00 PM ET

Accepted

Feb 14, 6:17 AM ET

Size

26.6 KB

Accession

0000899243-22-006041

Insider Transaction Report

Form 4

Period: 2021-12-10

ForgeRock, Inc.FORG

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

Director10% Owner

Transactions

Conversion
Common Stock
2021-12-10+687,030→ 687,030 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−238,074→ 1,349,089 total(indirect: See Footnote)
→ Class A Common Stock (238,074 underlying)
Conversion
Common Stock
2021-12-10+238,074→ 238,074 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−142,845→ 809,453 total(indirect: See Footnote)
→ Class A Common Stock (142,845 underlying)
Conversion
Common Stock
2021-12-10+142,845→ 142,845 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−687,030→ 3,893,169 total(indirect: See Footnote)
→ Class A Common Stock (687,030 underlying)

Riverwood Capital III L.P.

10% Owner

Transactions

Conversion
Common Stock
2021-12-10+142,845→ 142,845 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−687,030→ 3,893,169 total(indirect: See Footnote)
→ Class A Common Stock (687,030 underlying)
Conversion
Common Stock
2021-12-10+238,074→ 238,074 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−238,074→ 1,349,089 total(indirect: See Footnote)
→ Class A Common Stock (238,074 underlying)
Conversion
Common Stock
2021-12-10+687,030→ 687,030 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−142,845→ 809,453 total(indirect: See Footnote)
→ Class A Common Stock (142,845 underlying)

Riverwood Capital GP III Ltd.

10% Owner

Transactions

Conversion
Common Stock
2021-12-10+238,074→ 238,074 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−238,074→ 1,349,089 total(indirect: See Footnote)
→ Class A Common Stock (238,074 underlying)
Conversion
Common Stock
2021-12-10+687,030→ 687,030 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−142,845→ 809,453 total(indirect: See Footnote)
→ Class A Common Stock (142,845 underlying)
Conversion
Common Stock
2021-12-10+142,845→ 142,845 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−687,030→ 3,893,169 total(indirect: See Footnote)
→ Class A Common Stock (687,030 underlying)

RCP III AIV L.P.

10% Owner

Transactions

Conversion
Class B Common Stock
2021-12-10−238,074→ 1,349,089 total(indirect: See Footnote)
→ Class A Common Stock (238,074 underlying)
Conversion
Class B Common Stock
2021-12-10−687,030→ 3,893,169 total(indirect: See Footnote)
→ Class A Common Stock (687,030 underlying)
Conversion
Common Stock
2021-12-10+142,845→ 142,845 total(indirect: See Footnote)
Conversion
Common Stock
2021-12-10+687,030→ 687,030 total(indirect: See Footnote)
Conversion
Common Stock
2021-12-10+238,074→ 238,074 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−142,845→ 809,453 total(indirect: See Footnote)
→ Class A Common Stock (142,845 underlying)

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

Director10% Owner

Transactions

Conversion
Class B Common Stock
2021-12-10−142,845→ 809,453 total(indirect: See Footnote)
→ Class A Common Stock (142,845 underlying)
Conversion
Class B Common Stock
2021-12-10−238,074→ 1,349,089 total(indirect: See Footnote)
→ Class A Common Stock (238,074 underlying)
Conversion
Common Stock
2021-12-10+142,845→ 142,845 total(indirect: See Footnote)
Conversion
Common Stock
2021-12-10+687,030→ 687,030 total(indirect: See Footnote)
Conversion
Common Stock
2021-12-10+238,074→ 238,074 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−687,030→ 3,893,169 total(indirect: See Footnote)
→ Class A Common Stock (687,030 underlying)

Parks Jeffrey T

Director10% Owner

Transactions

Conversion
Common Stock
2021-12-10+142,845→ 142,845 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−142,845→ 809,453 total(indirect: See Footnote)
→ Class A Common Stock (142,845 underlying)
Conversion
Common Stock
2021-12-10+687,030→ 687,030 total(indirect: See Footnote)
Conversion
Common Stock
2021-12-10+238,074→ 238,074 total(indirect: See Footnote)
Conversion
Class B Common Stock
2021-12-10−687,030→ 3,893,169 total(indirect: See Footnote)
→ Class A Common Stock (687,030 underlying)
Conversion
Class B Common Stock
2021-12-10−238,074→ 1,349,089 total(indirect: See Footnote)
→ Class A Common Stock (238,074 underlying)

Footnotes (5)

[F1]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.
[F2]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.
[F3]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.
[F4]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.
[F5]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: Feb 13, 7:00 PM ET
Accepted: Feb 14, 6:17 AM ET
Size: 26.6 KB

View on SEC.gov