0001209191-21-056661.txt : 20210917 0001209191-21-056661.hdr.sgml : 20210917 20210917165306 ACCESSION NUMBER: 0001209191-21-056661 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210915 FILED AS OF DATE: 20210917 DATE AS OF CHANGE: 20210917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fernandez Juan P CENTRAL INDEX KEY: 0001882631 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40787 FILM NUMBER: 211261079 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-09-15 0 0001543916 ForgeRock, Inc. FORG 0001882631 Fernandez Juan P C/O FORGEROCK, INC. 201 MISSION STREET, SUITE 2900 SAN FRANCISCO CA 94105 0 1 0 0 CFO, Executive VP - Global Common Stock 2021-09-15 4 F 0 51785 25.00 D 234553 D Stock Option (right to buy) 25.00 2021-09-15 4 A 0 87346 0.00 A 2031-09-14 Class A Common Stock 87346 87346 D Immediately prior to the completion of the initial public offering of the 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. Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the vesting of restricted stock units. One-fourth (1/4th) of the shares subject to the option will vest on September 15, 2022, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Samuel J. Fleischmann, by Power of Attorney for Juan P. Fernandez 2021-09-17