0000899243-21-036081.txt : 20210915 0000899243-21-036081.hdr.sgml : 20210915 20210915171205 ACCESSION NUMBER: 0000899243-21-036081 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210915 FILED AS OF DATE: 20210915 DATE AS OF CHANGE: 20210915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fernandez Juan P CENTRAL INDEX KEY: 0001882631 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211256017 MAIL ADDRESS: STREET 1: 201 MISSION STREET STREET 2: SUITE 2900 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2021-09-15 0 0001543916 ForgeRock, Inc. FORG 0001882631 Fernandez Juan P 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 0 1 0 0 CFO, Executive VP - Global Common Stock 286338 D Stock Option (right to buy) 0.43 2023-07-25 Common Stock 276685 D Stock Option (right to buy) 1.68 2024-12-29 Common Stock 20221 D Stock Option (right to buy) 2.70 2027-05-14 Common Stock 108745 D Stock Option (right to buy) 4.83 2030-02-08 Common Stock 130000 D Stock Option (right to buy) 4.83 2030-10-06 Common Stock 300000 D Prior to the closing of the initial public offering of Class A common stock, par value $0.001 per share ("Class A Common Stock"), of ForgeRock, Inc. (the "Issuer"), each share of the Issuer's common stock, par value $0.001 per share ("Common Stock") will be reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of 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. Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU. All of the shares subject to this are fully vested and exercisable as of the date hereof. Option granted under the Issuer's 2012 Equity Incentive Plan ("2012 Plan"). Twenty-five percent (25%) of the shares subject to the option vested on March 1, 2021; thereafter, the remaining number of shares subject to the option vest in equal monthly installments over the following thirty-six (36) months, subject to the Reporting Person continuing as a service provider through each such date. Option granted under the Issuer's 2012 Plan. Twenty-five percent (25%) of the shares subject to the option will vest on October 7, 2021; thereafter, the remaining number of shares subject to the option shall vest in equal monthly installments over the following thirty-six (36) months, subject to the Reporting Person continuing as a service provider through each such date.. Exhibit 24 - Power of Attorney /s/ Samuel J. Fleischmann, by Power of Attorney for Juan P. Fernandez 2021-09-15 EX-24 2 attachment1.htm EX-24 DOCUMENT

                               POWER OF ATTORNEY

        The undersigned, as a Section 16 reporting person of ForgeRock, Inc.
(the "Company"), hereby constitutes and appoints Sam Fleischmann, Sheri Piazza
and Amy B. Martin as the undersigned's true and lawful attorney-in-fact to:

        1.    complete and execute Forms 3, 4 and 5 and other forms and all
              amendments thereto as such attorney-in-fact shall in his
              discretion determine to be required or advisable pursuant to
              Section 16 of the Securities Exchange Act of 1934 (as amended) and
              the rules and regulations promulgated thereunder, or any successor
              laws and regulations, as a consequence of the undersigned's
              ownership, acquisition or disposition of securities of the
              Company; and

        2.    do all acts necessary in order to file such forms with the SEC,
              any securities exchange or national association, the Company and
              such other person or agency as the attorney-in-fact shall deem
              appropriate.

        The undersigned hereby ratifies and confirms all that said attorney-in-
fact and agents shall do or cause to be done by virtue hereof.  The undersigned
acknowledges that the foregoing attorney-in-fact, in serving in such capacity at
the request of the undersigned, is not assuming, nor is the Company assuming,
any of the undersigned's responsibilities to comply with Section 16 of the
Securities Exchange Act of 1934 (as amended).

        This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the foregoing attorney-in-fact.

        IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of the date set forth below.

                                        Juan P. Fernandez


                                        Signature:     /s/ Juan P. Fernandez
                                                   -----------------------------

                                        Date:    September 11, 2021
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