David S. DeWalt - Sep 20, 2021 Form 4 Insider Report for ForgeRock, Inc. (FORG)

Role: Director
Signature: /s/ Samuel J. Fleischmann, by Power of Attorney for David S. DeWalt
Stock symbol: FORG
Transactions as of: Sep 20, 2021
Transactions value $: $0
Form type: 4
Date filed: 9/22/2021, 04:30 PM
Previous filing: Sep 15, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	FORG	Common Stock	Other	$0	-556K	-100%	$0.00^*	0	Sep 20, 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
transaction	FORG	Class B Common Stock	Other	$0	+556K		$0.00	556K	Sep 20, 2021	Class A Common Stock	556K		Direct	F1, F2

* 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	These shares are subject to a restricted stock award under the Issuer's 2012 Equity Incentive Plan, pursuant to which 1/60th of the total shares subject to this award vested on January 31, 2017, with 1/60th of the total shares vesting monthly thereafter, subject to the Reporting Person's continued role as a service provider to the Issuer.

Content

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.

These shares are subject to a restricted stock award under the Issuer's 2012 Equity Incentive Plan, pursuant to which 1/60th of the total shares subject to this award vested on January 31, 2017, with 1/60th of the total shares vesting monthly thereafter, subject to the Reporting Person's continued role as a service provider to the Issuer.