4//SEC Filing
Weiss Warren M 4
Accession 0001209191-21-057250
CIK 0001543916other
Filed
Sep 21, 8:00 PM ET
Accepted
Sep 22, 4:17 PM ET
Size
36.9 KB
Accession
0001209191-21-057250
Insider Transaction Report
Form 4
ForgeRock, Inc.FORG
Weiss Warren M
Director
Transactions
- Conversion
Series B Preferred Stock
2021-09-20−6,655,448→ 0 total(indirect: See Footnote)→ Common Stock (6,655,448 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+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) - Other
Common Stock
2021-09-20−8,415,644→ 0 total(indirect: See Footnote) - Other
Common Stock
2021-09-20−128,156→ 0 total(indirect: See Footnote) - Conversion
Series C Preferred Stock
2021-09-20−18,034→ 0 total(indirect: See Footnote)→ Common Stock (18,034 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
Series E Preferred Stock
2021-09-20−3,110→ 0 total(indirect: See Footnote)→ Common Stock (3,110 underlying) - Conversion
Series B Preferred Stock
2021-09-20−101,352→ 0 total(indirect: See Footnote)→ Common Stock (101,352 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) - Conversion
Common Stock
2021-09-20+128,156→ 128,156 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)
Footnotes (7)
- [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"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.
- [F7]Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.
Documents
Issuer
ForgeRock, Inc.
CIK 0001543916
Entity typeother
Related Parties
1- filerCIK 0001399347
Filing Metadata
- Form type
- 4
- Filed
- Sep 21, 8:00 PM ET
- Accepted
- Sep 22, 4:17 PM ET
- Size
- 36.9 KB