4//SEC Filing
Ott Alexander 4
Accession 0001209191-21-057263
CIK 0001543916other
Filed
Sep 21, 8:00 PM ET
Accepted
Sep 22, 4:32 PM ET
Size
19.4 KB
Accession
0001209191-21-057263
Insider Transaction Report
Form 4
ForgeRock, Inc.FORG
Ott Alexander
Director
Transactions
- Other
Common Stock
2021-09-20−504,286→ 0 total - Other
Class B Common Stock
2021-09-20+504,286→ 504,286 total→ Class A Common Stock (504,286 underlying) - Other
Class B Common Stock
2021-09-20+384,862→ 384,862 total(indirect: See Footnote)→ Class A Common Stock (384,862 underlying) - Conversion
Series A Preferred Stock
2021-09-20−285,714→ 0 total(indirect: See Footnote)→ Common Stock (285,714 underlying) - Conversion
Common Stock
2021-09-20+384,862→ 384,862 total(indirect: See Footnote) - Other
Common Stock
2021-09-20−384,862→ 0 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2021-09-20−99,148→ 0 total(indirect: See Footnote)→ Common Stock (99,148 underlying)
Footnotes (4)
- [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 A 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 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.
- [F4]Shares held by CrossContinental Ventures. Mr. Ott has sole voting and dispositive control over the shares held by CrossContinental Ventures and thus may be deemed to beneficially own the shares held by CrossContinental Ventures.
Documents
Issuer
ForgeRock, Inc.
CIK 0001543916
Entity typeother
Related Parties
1- filerCIK 0001496305
Filing Metadata
- Form type
- 4
- Filed
- Sep 21, 8:00 PM ET
- Accepted
- Sep 22, 4:32 PM ET
- Size
- 19.4 KB