Bruce Golden - 20 Sep 2021 Form 4 Insider Report for ForgeRock, Inc.

Role
Director, 10%+ Owner
Signature
/s/ Samuel J. Fleischmann, by Power of Attorney for Bruce Golden
Issuer symbol
N/A
Transactions as of
20 Sep 2021
Net transactions value
$0
Form type
4
Filing time
22 Sep 2021, 16:08:39 UTC
Previous filing
15 Sep 2021
Next filing
10 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction FORG Common Stock Conversion of derivative security $0 +12,466,364 +3728% $0.000000 12,800,725 20 Sep 2021 By: Accel London III L.P. F1, F2, F3, F4, F5, F6, F7
transaction FORG Common Stock Conversion of derivative security $0 +283,036 +3729% $0.000000 290,627 20 Sep 2021 By: Accel London Investors 2012 L.P. F1, F2, F3, F4, F5, F6, F8
transaction FORG Common Stock Other $0 -12,800,725 -100% $0.000000* 0 20 Sep 2021 By: Accel London III L.P. F1, F2, F3, F4, F5, F6, F7
transaction FORG Common Stock Other $0 -290,627 -100% $0.000000* 0 20 Sep 2021 By: Accel London Investors 2012 L.P. F1, F2, F3, F4, F5, F6, F8

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
transaction FORG Series A Preferred Stock Conversion of derivative security $0 -6,518,668 -100% $0.000000* 0 20 Sep 2021 Common Stock 6,518,668 By: Accel London III L.P. F2, F7
transaction FORG Series A Preferred Stock Conversion of derivative security $0 -148,000 -100% $0.000000* 0 20 Sep 2021 Common Stock 148,000 By: Accel London Investors 2012 L.P. F2, F8
transaction FORG Series B Preferred Stock Conversion of derivative security $0 -2,202,266 -100% $0.000000* 0 20 Sep 2021 Common Stock 2,202,266 By: Accel London III L.P. F3, F7
transaction FORG Series B Preferred Stock Conversion of derivative security $0 -50,000 -100% $0.000000* 0 20 Sep 2021 Common Stock 50,000 By: Accel London Investors 2012 L.P. F3, F8
transaction FORG Series C Preferred Stock Conversion of derivative security $0 -1,551,780 -100% $0.000000* 0 20 Sep 2021 Common Stock 1,551,780 By: Accel London III L.P. F4, F7
transaction FORG Series C Preferred Stock Conversion of derivative security $0 -35,232 -100% $0.000000* 0 20 Sep 2021 Common Stock 35,232 By: Accel London Investors 2012 L.P. F4, F8
transaction FORG Series D Preferred Stock Conversion of derivative security $0 -1,686,771 -100% $0.000000* 0 20 Sep 2021 Common Stock 1,686,771 By: Accel London III L.P. F5, F7
transaction FORG Series D Preferred Stock Conversion of derivative security $0 -38,296 -100% $0.000000* 0 20 Sep 2021 Common Stock 38,296 By: Accel London Investors 2012 L.P. F5, F8
transaction FORG Series E Preferred Stock Conversion of derivative security $0 -506,879 -100% $0.000000* 0 20 Sep 2021 Common Stock 506,879 By: Accel London III L.P. F1, F6
transaction FORG Series E Preferred Stock Conversion of derivative security $0 -11,508 -100% $0.000000* 0 20 Sep 2021 Common Stock 11,508 By: Accel London Investors 2012 L.P. F6, F8
transaction FORG Class B Common Stock Other $0 +12,800,725 $0.000000 12,800,725 20 Sep 2021 Class A Common Stock 12,800,725 By: Accel London III L.P. F1, F7
transaction FORG Class B Common Stock Other $0 +290,627 $0.000000 290,627 20 Sep 2021 Class A Common Stock 290,627 By: Accel London Investors 2012 L.P. F1, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A 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 and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer.
F2 Each share of Series A Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F3 Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F4 Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F5 Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F6 Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F7 Accel London III Associates L.L.C. is the general partner of Accel London III Associates L.P. which is the general partner of Accel London III L.P. and has the sole voting and investment power. Kevin Comolli, Bruce Golden, Hendrik Nelis, and Sonali de Rycker are the managers of Accel London III Associates L.L.C. and share voting and investment power over such shares. Such managers and the Reporting Person hereunder disclaim beneficial ownership except to the extent of their pecuniary interest therein.
F8 Accel London III Associates L.L.C. is the general partner of Accel London Investors 2012 L.P. and has the sole voting and investment power. Kevin Comolli, Bruce Golden, Hendrik Nelis, and Sonali de Rycker are the managers of Accel London III Associates L.L.C. and share voting and investment power over such shares. Such managers and the Reporting Person hereunder disclaim beneficial ownership except to the extent of their pecuniary interest therein.