Samuel J. Fleischmann - Sep 15, 2021 Form 3 Insider Report for ForgeRock, Inc. (FORG)

Role
Chief Legal Officer
Signature
/s/ Samuel J. Fleischmann
Stock symbol
FORG
Transactions as of
Sep 15, 2021
Transactions value $
$0
Form type
3
Date filed
9/15/2021, 05:14 PM
Next filing
Sep 22, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding FORG Stock Option (right to buy) Sep 15, 2021 Common Stock 173K $3.72 Direct F1, F2
holding FORG Stock Option (right to buy) Sep 15, 2021 Common Stock 50K $7.86 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Option granted under ForgeRock Inc.'s (the "Issuer") 2012 Equity Incentive Plan. Twenty-five percent (25%) of the shares subject to the option vested on December 10, 2019; 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.
F2 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.
F3 Option granted under the Issuer's 2012 Plan. Twenty-five percent (25%) of the shares subject to the option will vest on February 1, 2022; 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.

Remarks:

Exhibit 24 - Power of Attorney