Francis C. Rosch - 15 Sep 2021 Form 3 Insider Report for ForgeRock, Inc.

Role
President & CEO, Director
Signature
/s/ Samuel J. Fleischmann, by Power of Attorney for Francis C. Rosch
Issuer symbol
N/A
Transactions as of
15 Sep 2021
Net transactions value
$0
Form type
3
Filing time
15 Sep 2021, 17:18:18 UTC
Next filing
22 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding FORG Common Stock 195,331 15 Sep 2021 Direct F1

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) 15 Sep 2021 Common Stock 2,710,879 $3.60 Direct F1, F2
holding FORG Stock Option (right to buy) 15 Sep 2021 Common Stock 400,000 $4.83 Direct F1, F3
holding FORG Stock Option (right to buy) 15 Sep 2021 Common Stock 500,000 $7.86 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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 June 29, 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.
F3 Option granted under the Issuer's 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 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.
F4 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 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.

Remarks:

Exhibit 24 - Power of Attorney