0001209191-23-039053.txt : 20230622
0001209191-23-039053.hdr.sgml : 20230622
20230622162142
ACCESSION NUMBER: 0001209191-23-039053
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230620
FILED AS OF DATE: 20230622
DATE AS OF CHANGE: 20230622
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ott Alexander
CENTRAL INDEX KEY: 0001496305
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40787
FILM NUMBER: 231033597
MAIL ADDRESS:
STREET 1: C/O CROSS CONTINENTAL VENTURES
STREET 2: 2122 INVERNESS LANE
CITY: BERWYN
STATE: PA
ZIP: 19312
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ForgeRock, Inc.
CENTRAL INDEX KEY: 0001543916
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 331223363
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 201 MISSION STREET
STREET 2: SUITE 2900
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
BUSINESS PHONE: (415) 599-1100
MAIL ADDRESS:
STREET 1: 201 MISSION STREET
STREET 2: SUITE 2900
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
4
1
doc4.xml
FORM 4 SUBMISSION
X0407
4
2023-06-20
0
0001543916
ForgeRock, Inc.
FORG
0001496305
Ott Alexander
C/O FORGEROCK, INC.
201 MISSION STREET, SUITE 2900
SAN FRANCISCO
CA
94105
1
0
0
0
1
Class A Common Stock
2023-06-20
4
C
0
99000
0.00
A
110489
D
Class A Common Stock
2023-06-20
4
S
0
99000
19.2233
D
11489
D
Class B Common Stock
2023-06-20
4
C
0
99000
0.00
D
Class A Common Stock
99000
489148
D
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.
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.
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.
The sale price represents the weighted average price of the shares sold ranging from $19.12 to $19.32 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.
The Plan was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) in effect at the time of adoption.
/s/ Samuel J. Fleischmann, by Power of Attorney for Alexander Ott
2023-06-22