4//SEC Filing
Foundation Capital VII, L.P. 4
Accession 0001209191-21-057249
CIK 0001543916other
Filed
Sep 21, 8:00 PM ET
Accepted
Sep 22, 4:17 PM ET
Size
41.2 KB
Accession
0001209191-21-057249
Insider Transaction Report
Form 4
ForgeRock, Inc.FORG
Transactions
- Conversion
Common Stock
2021-09-20+8,415,644→ 8,415,644 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2021-09-20−6,655,448→ 0 total(indirect: See Footnote)→ Common Stock (6,655,448 underlying) - Conversion
Series C Preferred Stock
2021-09-20−1,184,254→ 0 total(indirect: See Footnote)→ Common Stock (1,184,254 underlying) - Conversion
Series B Preferred Stock
2021-09-20−101,352→ 0 total(indirect: See Footnote)→ Common Stock (101,352 underlying) - Conversion
Series C Preferred Stock
2021-09-20−18,034→ 0 total(indirect: See Footnote)→ Common Stock (18,034 underlying) - Conversion
Series D Preferred Stock
2021-09-20−5,660→ 0 total(indirect: See Footnote)→ Common Stock (5,660 underlying) - Other
Class B Common Stock
2021-09-20+128,156→ 128,156 total(indirect: See Footnote)→ Class A Common Stock (128,156 underlying) - Other
Class B Common Stock
2021-09-20+8,415,644→ 8,415,644 total(indirect: See Footnote)→ Class A Common Stock (8,415,644 underlying) - Other
Common Stock
2021-09-20−128,156→ 0 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2021-09-20−371,698→ 0 total(indirect: See Footnote)→ Common Stock (371,698 underlying) - Conversion
Series E Preferred Stock
2021-09-20−204,244→ 0 total(indirect: See Footnote)→ Common Stock (204,244 underlying) - Conversion
Common Stock
2021-09-20+128,156→ 128,156 total(indirect: See Footnote) - Other
Common Stock
2021-09-20−8,415,644→ 0 total(indirect: See Footnote) - Conversion
Series E Preferred Stock
2021-09-20−3,110→ 0 total(indirect: See Footnote)→ Common Stock (3,110 underlying)
Transactions
- Other
Common Stock
2021-09-20−128,156→ 0 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2021-09-20−101,352→ 0 total(indirect: See Footnote)→ Common Stock (101,352 underlying) - Conversion
Common Stock
2021-09-20+8,415,644→ 8,415,644 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2021-09-20−6,655,448→ 0 total(indirect: See Footnote)→ Common Stock (6,655,448 underlying) - Conversion
Series C Preferred Stock
2021-09-20−1,184,254→ 0 total(indirect: See Footnote)→ Common Stock (1,184,254 underlying) - Conversion
Series D Preferred Stock
2021-09-20−371,698→ 0 total(indirect: See Footnote)→ Common Stock (371,698 underlying) - Conversion
Common Stock
2021-09-20+128,156→ 128,156 total(indirect: See Footnote) - Conversion
Series E Preferred Stock
2021-09-20−204,244→ 0 total(indirect: See Footnote)→ Common Stock (204,244 underlying) - Other
Class B Common Stock
2021-09-20+8,415,644→ 8,415,644 total(indirect: See Footnote)→ Class A Common Stock (8,415,644 underlying) - Other
Common Stock
2021-09-20−8,415,644→ 0 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2021-09-20−5,660→ 0 total(indirect: See Footnote)→ Common Stock (5,660 underlying) - Conversion
Series C Preferred Stock
2021-09-20−18,034→ 0 total(indirect: See Footnote)→ Common Stock (18,034 underlying) - Conversion
Series E Preferred Stock
2021-09-20−3,110→ 0 total(indirect: See Footnote)→ Common Stock (3,110 underlying) - Other
Class B Common Stock
2021-09-20+128,156→ 128,156 total(indirect: See Footnote)→ Class A Common Stock (128,156 underlying)
Foundation Capital VII, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-09-20−128,156→ 0 total(indirect: See Footnote) - Conversion
Series C Preferred Stock
2021-09-20−1,184,254→ 0 total(indirect: See Footnote)→ Common Stock (1,184,254 underlying) - Conversion
Series D Preferred Stock
2021-09-20−5,660→ 0 total(indirect: See Footnote)→ Common Stock (5,660 underlying) - Conversion
Series E Preferred Stock
2021-09-20−3,110→ 0 total(indirect: See Footnote)→ Common Stock (3,110 underlying) - Other
Class B Common Stock
2021-09-20+128,156→ 128,156 total(indirect: See Footnote)→ Class A Common Stock (128,156 underlying) - Conversion
Common Stock
2021-09-20+128,156→ 128,156 total(indirect: See Footnote) - Other
Common Stock
2021-09-20−8,415,644→ 0 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2021-09-20−101,352→ 0 total(indirect: See Footnote)→ Common Stock (101,352 underlying) - Conversion
Series C Preferred Stock
2021-09-20−18,034→ 0 total(indirect: See Footnote)→ Common Stock (18,034 underlying) - Conversion
Series D Preferred Stock
2021-09-20−371,698→ 0 total(indirect: See Footnote)→ Common Stock (371,698 underlying) - Conversion
Series E Preferred Stock
2021-09-20−204,244→ 0 total(indirect: See Footnote)→ Common Stock (204,244 underlying) - Other
Class B Common Stock
2021-09-20+8,415,644→ 8,415,644 total(indirect: See Footnote)→ Class A Common Stock (8,415,644 underlying) - Conversion
Common Stock
2021-09-20+8,415,644→ 8,415,644 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2021-09-20−6,655,448→ 0 total(indirect: See Footnote)→ Common Stock (6,655,448 underlying)
Footnotes (8)
- [F1]Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B Common Stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"). 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 and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer.
- [F2]Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
- [F3]Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
- [F4]Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
- [F5]Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
- [F6]Shares are held by Foundation Capital VII, L.P. ("FC VII"). Foundation Capital Management Co. VII, L.L.C. ("Management") is the general partner of FC VII and Management may be deemed to beneficially own the shares held by FC VII.
- [F7]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.
- [F8]Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). Management is the manager of Principals and Management may be deemed to beneficially own the shares held by Principals.
Documents
Issuer
ForgeRock, Inc.
CIK 0001543916
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001546800
Filing Metadata
- Form type
- 4
- Filed
- Sep 21, 8:00 PM ET
- Accepted
- Sep 22, 4:17 PM ET
- Size
- 41.2 KB