4//SEC Filing
Ott Alexander 4
Accession 0001209191-23-036878
CIK 0001543916other
Filed
Jun 12, 8:00 PM ET
Accepted
Jun 13, 7:29 PM ET
Size
10.2 KB
Accession
0001209191-23-036878
Insider Transaction Report
Form 4
ForgeRock, Inc.FORG
Ott Alexander
Director
Transactions
- Conversion
Class A Common Stock
2023-06-09+301,000→ 312,489 total - Sale
Class A Common Stock
2023-06-09$19.42/sh−301,000$5,846,835→ 11,489 total - Conversion
Class B Common Stock
2023-06-09−301,000→ 588,148 total→ Class A Common Stock (301,000 underlying)
Footnotes (5)
- [F1]Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the reporting person's election and has no expiration date.
- [F2]Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU.
- [F3]The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2023.
- [F4]The sale price represents the weighted average price of the shares sold ranging from $19.12 to $19.70 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- [F5]Includes 384,862 shares of Class B Common Stock received as a transfer from CrossContinental Ventures ("CCV") on November 21, 2021, of which the Reporting Person is the sole proprietor and which transfer is exempt from Section 16 reporting pursuant to Section 16a-13. In prior reports, the Reporting Person reported an indirect beneficial ownership of 384,862 shares of the Issuer's Class B Common Stock held by CCV.
Documents
Issuer
ForgeRock, Inc.
CIK 0001543916
Entity typeother
Related Parties
1- filerCIK 0001496305
Filing Metadata
- Form type
- 4
- Filed
- Jun 12, 8:00 PM ET
- Accepted
- Jun 13, 7:29 PM ET
- Size
- 10.2 KB