0000899243-22-006041.txt : 20220214 0000899243-22-006041.hdr.sgml : 20220214 20220214061745 ACCESSION NUMBER: 0000899243-22-006041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211210 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riverwood Capital Partners III (Parallel - A) L.P. CENTRAL INDEX KEY: 0001818732 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 22624660 BUSINESS ADDRESS: STREET 1: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-618-7300 MAIL ADDRESS: STREET 1: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Parks Jeffrey T CENTRAL INDEX KEY: 0001550469 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 22624655 MAIL ADDRESS: STREET 1: C/O RIVERWOOD CAPITAL MANAGEMENT STREET 2: 70 WILLOW ROAD STE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riverwood Capital Partners III (Parallel - B) L.P. CENTRAL INDEX KEY: 0001746848 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 22624656 BUSINESS ADDRESS: STREET 1: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-618-7318 MAIL ADDRESS: STREET 1: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riverwood Capital III L.P. CENTRAL INDEX KEY: 0001884103 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 22624659 BUSINESS ADDRESS: STREET 1: RIVERWOOD MANAGEMENT STREET 2: 70 WILLOW ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-618-7300 MAIL ADDRESS: STREET 1: RIVERWOOD MANAGEMENT STREET 2: 70 WILLOW ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP III AIV L.P. CENTRAL INDEX KEY: 0001883778 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 22624657 BUSINESS ADDRESS: STREET 1: RIVERWOOD MANAGEMENT STREET 2: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-618-7300 MAIL ADDRESS: STREET 1: RIVERWOOD MANAGEMENT STREET 2: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riverwood Capital GP III Ltd. CENTRAL INDEX KEY: 0001883779 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 22624658 BUSINESS ADDRESS: STREET 1: RIVERWOOD MANAGEMENT STREET 2: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-618-7300 MAIL ADDRESS: STREET 1: RIVERWOOD MANAGEMENT STREET 2: 70 WILLOW ROAD, SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 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 X0306 4 2021-12-10 0 0001543916 ForgeRock, Inc. FORG 0001818732 Riverwood Capital Partners III (Parallel - A) L.P. 70 WILLOW ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001884103 Riverwood Capital III L.P. 70 WILLOW ROAD SUITE 100 MENLO PARK CA 94025-3652 0 0 1 0 0001883779 Riverwood Capital GP III Ltd. 70 WILLOW ROAD SUITE 100 MENLO PARK CA 94025-3652 0 0 1 0 0001883778 RCP III AIV L.P. 70 WILLOW ROAD SUITE 100 MENLO PARK CA 94025-3652 0 0 1 0 0001746848 Riverwood Capital Partners III (Parallel - B) L.P. 70 WILLOW ROAD SUITE 100 MENLO PARK CA 94025-3652 0 0 1 0 0001550469 Parks Jeffrey T 70 WILLOW ROAD SUITE 100 MENLO PARK CA 94025-3652 1 0 0 0 Common Stock 2021-12-10 4 C 0 687030 A 687030 I See Footnote Common Stock 2021-12-10 4 C 0 142845 A 142845 I See Footnote Common Stock 2021-12-10 4 C 0 238074 A 238074 I See Footnote Class B Common Stock 2021-12-10 4 C 0 687030 D Class A Common Stock 687030 3893169 I See Footnote Class B Common Stock 2021-12-10 4 C 0 142845 D Class A Common Stock 142845 809453 I See Footnote Class B Common Stock 2021-12-10 4 C 0 238074 D Class A Common Stock 238074 1349089 I See Footnote Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Jeffrey T. Parks is a member of the board of director of the Issuer and a member of the investment committee and a shareholder of Riverwood Capital GP III Ltd. He disclaims beneficial ownership with respect to the shares beneficially owned by the Riverwood Entities except to the extent of his pecuniary interest therein. /s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P. 2022-02-14 /s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-A) L.P. 2022-02-14 /s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-B) L.P. 2022-02-14 /s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of RCP III AIV L.P. 2022-02-14 /s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd. 2022-02-14 /s/ Jeffrey Parks 2022-02-14