4//SEC Filing
Riverwood Capital Partners III (Parallel - A) L.P. 4
Accession 0000899243-22-016619
CIK 0001543916other
Filed
May 3, 8:00 PM ET
Accepted
May 4, 4:46 PM ET
Size
26.6 KB
Accession
0000899243-22-016619
Insider Transaction Report
Form 4
ForgeRock, Inc.FORG
Riverwood Capital Partners III (Parallel - A) L.P.
Director10% Owner
Transactions
- Conversion
Common Stock
2022-05-02+468,147→ 610,992 total(indirect: See Footnote) - Conversion
Common Stock
2022-05-02+780,244→ 1,018,318 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−2,251,610→ 1,641,559 total(indirect: See Footnote)→ Class A Common Stock (2,251,610 underlying) - Conversion
Common Stock
2022-05-02+2,251,610→ 2,938,640 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−468,147→ 341,306 total(indirect: See Footnote)→ Class A Common Stock (468,147 underlying) - Conversion
Class B Common Stock
2022-05-02−780,244→ 568,845 total(indirect: See Footnote)→ Class A Common Stock (780,244 underlying)
Riverwood Capital GP III Ltd.
10% Owner
Transactions
- Conversion
Common Stock
2022-05-02+468,147→ 610,992 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−780,244→ 568,845 total(indirect: See Footnote)→ Class A Common Stock (780,244 underlying) - Conversion
Common Stock
2022-05-02+2,251,610→ 2,938,640 total(indirect: See Footnote) - Conversion
Common Stock
2022-05-02+780,244→ 1,018,318 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−2,251,610→ 1,641,559 total(indirect: See Footnote)→ Class A Common Stock (2,251,610 underlying) - Conversion
Class B Common Stock
2022-05-02−468,147→ 341,306 total(indirect: See Footnote)→ Class A Common Stock (468,147 underlying)
Riverwood Capital Partners III (Parallel - B) L.P.
Director10% Owner
Transactions
- Conversion
Common Stock
2022-05-02+780,244→ 1,018,318 total(indirect: See Footnote) - Conversion
Common Stock
2022-05-02+2,251,610→ 2,938,640 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−468,147→ 341,306 total(indirect: See Footnote)→ Class A Common Stock (468,147 underlying) - Conversion
Common Stock
2022-05-02+468,147→ 610,992 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−2,251,610→ 1,641,559 total(indirect: See Footnote)→ Class A Common Stock (2,251,610 underlying) - Conversion
Class B Common Stock
2022-05-02−780,244→ 568,845 total(indirect: See Footnote)→ Class A Common Stock (780,244 underlying)
Riverwood Capital III L.P.
10% Owner
Transactions
- Conversion
Common Stock
2022-05-02+2,251,610→ 2,938,640 total(indirect: See Footnote) - Conversion
Common Stock
2022-05-02+780,244→ 1,018,318 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−2,251,610→ 1,641,559 total(indirect: See Footnote)→ Class A Common Stock (2,251,610 underlying) - Conversion
Class B Common Stock
2022-05-02−468,147→ 341,306 total(indirect: See Footnote)→ Class A Common Stock (468,147 underlying) - Conversion
Common Stock
2022-05-02+468,147→ 610,992 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−780,244→ 568,845 total(indirect: See Footnote)→ Class A Common Stock (780,244 underlying)
RCP III AIV L.P.
10% Owner
Transactions
- Conversion
Class B Common Stock
2022-05-02−780,244→ 568,845 total(indirect: See Footnote)→ Class A Common Stock (780,244 underlying) - Conversion
Common Stock
2022-05-02+468,147→ 610,992 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−2,251,610→ 1,641,559 total(indirect: See Footnote)→ Class A Common Stock (2,251,610 underlying) - Conversion
Class B Common Stock
2022-05-02−468,147→ 341,306 total(indirect: See Footnote)→ Class A Common Stock (468,147 underlying) - Conversion
Common Stock
2022-05-02+2,251,610→ 2,938,640 total(indirect: See Footnote) - Conversion
Common Stock
2022-05-02+780,244→ 1,018,318 total(indirect: See Footnote)
Parks Jeffrey T
Director10% Owner
Transactions
- Conversion
Common Stock
2022-05-02+2,251,610→ 2,938,640 total(indirect: See Footnote) - Conversion
Common Stock
2022-05-02+780,244→ 1,018,318 total(indirect: See Footnote) - Conversion
Class B Common Stock
2022-05-02−2,251,610→ 1,641,559 total(indirect: See Footnote)→ Class A Common Stock (2,251,610 underlying) - Conversion
Class B Common Stock
2022-05-02−468,147→ 341,306 total(indirect: See Footnote)→ Class A Common Stock (468,147 underlying) - Conversion
Class B Common Stock
2022-05-02−780,244→ 568,845 total(indirect: See Footnote)→ Class A Common Stock (780,244 underlying) - Conversion
Common Stock
2022-05-02+468,147→ 610,992 total(indirect: See Footnote)
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
Issuer
ForgeRock, Inc.
CIK 0001543916
Entity typeother
IncorporatedOntario, Canada
Related Parties
1- filerCIK 0001818732
Filing Metadata
- Form type
- 4
- Filed
- May 3, 8:00 PM ET
- Accepted
- May 4, 4:46 PM ET
- Size
- 26.6 KB