Alexander Ott - Sep 15, 2021 Form 3 Insider Report for ForgeRock, Inc. (FORG)

Role
Director
Signature
/s/ Samuel J. Fleischmann, by Power of Attorney for Alexander Ott
Stock symbol
FORG
Transactions as of
Sep 15, 2021
Transactions value $
$0
Form type
3
Date filed
9/15/2021, 05:19 PM
Next filing
Sep 22, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding FORG Common Stock 504K Sep 15, 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 Series A Preferred Stock Sep 15, 2021 Common Stock 286K See Footnote F1, F2, F3
holding FORG Series B Preferred Stock Sep 15, 2021 Common Stock 99.1K See Footnote F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 All shares of Series A Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") and Series B Preferred Stock, par value $0.001 per share ("Series B Preferred Stock"), of ForgeRock, Inc. (the "Issuer") will automatically be converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock will be reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock").
F2 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. Each of the Series A Preferred Stock and Series B Preferred Stock has no expiration date.
F3 Shares held by CrossContinental Ventures. Mr. Ott has sole voting and dispositive control over the shares held by CrossContinental Ventures and thus may be deemed to beneficially own the shares held by CrossContinental Ventures.

Remarks:

Exhibit 24 - Power of Attorney