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