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