Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Gen Digital Inc.SYMC · Entity 2098 | EVP, Consumer Business | June 01, 2018 | June 05, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Gen Digital Inc.
Report date June 01, 2018 · Filed June 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 179,881 |
Reported balance
After 2018-06-01 transaction · row 1
1 source rowRow 1 · 2018-06-01 · Tax withholding · Disposed 33,145 · Balance 179,881 F1: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ForgeRock, Inc.
Report date August 23, 2023 · Filed August 25, 2023
Section 16 reporting ended · disclosed 2023-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 1
1 source rowRow 1 · 2023-08-23 · Disposition to issuer · Disposed 545,742 · Balance 0 F1: Represents (i) 49,726 shares of Class A common stock and (ii) 496,016 restricted stock units ("RSUs") that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into ForgeRock, Inc. (the "Issuer") pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement"). F2: At the Effective Time, (i) each outstanding share of the Issuer's Class A common stock was cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"); and (ii) each unvested RSU was canceled and converted into the contingent right to receive a cash payment equal to the Merger Consideration per unvested RSU, which will vest and become payable pursuant to the time-based vesting schedule that the unvested RSUs were subject to immediately prior to the Effective Time. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.60 · Expires 2028-06-28 | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-08-23 · Disposition to issuer · Disposed 2,560,879 · Balance 0 F3: This option was fully vested at the Effective Time. At the Effective Time, this option was canceled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of this option and (b) the product of the Merger Consideration and the number of shares subject to this option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.83 · Expires 2030-02-08 | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-08-23 · Disposition to issuer · Disposed 400,000 · Balance 0 F4: At the Effective Time, 341,667 shares subject to this option had vested and 58,333 of the shares subject to this option remained unvested. F5: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.86 · Expires 2031-02-12 | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-08-23 · Disposition to issuer · Disposed 500,000 · Balance 0 F5: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time. F6: At the Effective Time, 312,500 shares subject to this option had vested and 187,500 of the shares subject to this option remained unvested. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.00 · Expires 2031-09-14 | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-08-23 · Disposition to issuer · Disposed 190,370 · Balance 0 F5: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time. F7: At the Effective Time, 91,218 shares subject to this option had vested and 99,152 of the shares subject to this option remained unvested. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-08-23 · Disposition to issuer · Disposed 195,331 · Balance 0 F8: Represents shares that were disposed of at the Effective Time. At the Effective Time, each outstanding share of the Issuer's Class B common stock was canceled and converted into the right to receive the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents (i) 49,726 shares of Class A common stock and (ii) 496,016 restricted stock units ("RSUs") that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into ForgeRock, Inc. (the "Issuer") pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement").
F2: At the Effective Time, (i) each outstanding share of the Issuer's Class A common stock was cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"); and (ii) each unvested RSU was canceled and converted into the contingent right to receive a cash payment equal to the Merger Consideration per unvested RSU, which will vest and become payable pursuant to the time-based vesting schedule that the unvested RSUs were subject to immediately prior to the Effective Time.
F3: This option was fully vested at the Effective Time. At the Effective Time, this option was canceled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of this option and (b) the product of the Merger Consideration and the number of shares subject to this option.
F4: At the Effective Time, 341,667 shares subject to this option had vested and 58,333 of the shares subject to this option remained unvested.
F5: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time.
F6: At the Effective Time, 312,500 shares subject to this option had vested and 187,500 of the shares subject to this option remained unvested.
F7: At the Effective Time, 91,218 shares subject to this option had vested and 99,152 of the shares subject to this option remained unvested.
F8: Represents shares that were disposed of at the Effective Time. At the Effective Time, each outstanding share of the Issuer's Class B common stock was canceled and converted into the right to receive the Merger Consideration.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 23, 2023 Filed Aug 25, 2023 16:31 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass B Common Stock · Derivative | 195,331 | $23.25 Strike: $0.00 | $4,541,445.75 |
DisclosureSEC source: 0001209191-23-047324 · doc4.xml · derivative · entry 6 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 195,331 shares Expires not disclosed F8 · derivative.exercise_date: Represents shares that were disposed of at the Effective Time. At the Effective Time, each outstanding share of the Issuer's Class B common stock was canceled and converted into the right to receive the Merger Consideration. F8 · derivative.expiration_date: Represents shares that were disposed of at the Effective Time. At the Effective Time, each outstanding share of the Issuer's Class B common stock was canceled and converted into the right to receive the Merger Consideration. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 16:31 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerStock Option (right to buy) · Derivative | 190,370 | $23.25 Strike: $25.00 | $4,426,102.50 |
DisclosureSEC source: 0001209191-23-047324 · doc4.xml · derivative · entry 5 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 190,370 shares Expires 2031-09-14 F5 · derivative.exercise_date: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time. F7 · derivative.exercise_date: At the Effective Time, 91,218 shares subject to this option had vested and 99,152 of the shares subject to this option remained unvested. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 16:31 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerStock Option (right to buy) · Derivative | 500,000 | $23.25 Strike: $7.86 | $11,625,000.00 |
DisclosureSEC source: 0001209191-23-047324 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 500,000 shares Expires 2031-02-12 F5 · derivative.exercise_date: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time. F6 · derivative.exercise_date: At the Effective Time, 312,500 shares subject to this option had vested and 187,500 of the shares subject to this option remained unvested. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 16:31 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerStock Option (right to buy) · Derivative | 400,000 | $23.25 Strike: $4.83 | $9,300,000.00 |
DisclosureSEC source: 0001209191-23-047324 · doc4.xml · derivative · entry 3 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 400,000 shares Expires 2030-02-08 F4 · derivative.exercise_date: At the Effective Time, 341,667 shares subject to this option had vested and 58,333 of the shares subject to this option remained unvested. F5 · derivative.exercise_date: At the Effective Time, (i) the vested portion of this option was cancelled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the vested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option; and (ii) the unvested portion of this option was cancelled and converted into the contingent right to receive a cash payment equal to the difference between (a) the aggregate exercise price of the unvested portion of this option and (b) the product of the Merger Consideration and the number of shares subject to the vested portion of this option, which contingent payment will vest and become payable pursuant to the time-based vesting schedule that the unvested portion of the stock option was subject to immediately prior to the Effective Time. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 16:31 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerStock Option (right to buy) · Derivative | 2,560,879 | $23.25 Strike: $3.60 | $59,540,436.75 |
DisclosureSEC source: 0001209191-23-047324 · doc4.xml · derivative · entry 2 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 2,560,879 shares Expires 2028-06-28 F3 · derivative.exercise_date: This option was fully vested at the Effective Time. At the Effective Time, this option was canceled and converted into the right to receive a cash payment equal to the difference between (a) the aggregate exercise price of this option and (b) the product of the Merger Consideration and the number of shares subject to this option. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 16:31 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass A Common Stock | 545,742 | $23.25 | $12,688,501.50 |
DisclosureSEC source: 0001209191-23-047324 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Represents (i) 49,726 shares of Class A common stock and (ii) 496,016 restricted stock units ("RSUs") that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into ForgeRock, Inc. (the "Issuer") pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement"). F2 · price: At the Effective Time, (i) each outstanding share of the Issuer's Class A common stock was cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"); and (ii) each unvested RSU was canceled and converted into the contingent right to receive a cash payment equal to the Merger Consideration per unvested RSU, which will vest and become payable pursuant to the time-based vesting schedule that the unvested RSUs were subject to immediately prior to the Effective Time. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 17:16 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-046064 · doc4.xml · derivative · entry 5 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 195,331 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 17:16 UTC | ForgeRock, Inc. FORG · Entity 15406 | Exercise / conversionClass B Common Stock · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-046064 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 245,331 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 17:16 UTC | ForgeRock, Inc. FORG · Entity 15406 | Exercise / conversionStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001209191-23-046064 · doc4.xml · derivative · entry 3 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,560,879 Underlying: Class B Common Stock · 50,000 shares Expires 2028-06-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option is fully vested and immediately exercisable. F1 · derivative.underlying: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 17:16 UTC | ForgeRock, Inc. FORG · Entity 15406 | SaleClass A Common Stock | 50,000 | $21.26 | $1,063,165.00 |
DisclosureSEC source: 0001209191-23-046064 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 545,742 F3 · kind: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023. F4 · price: The sale price represents the weighted average price of the shares sold ranging from $21.05 to $21.67 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · balance_after: Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 17:16 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass A Common Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-046064 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 595,742 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F2 · balance_after: Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| July 11, 2023 Filed Jul 12, 2023 16:38 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-042091 · doc4.xml · derivative · entry 5 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 195,331 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| July 11, 2023 Filed Jul 12, 2023 16:38 UTC | ForgeRock, Inc. FORG · Entity 15406 | Exercise / conversionClass B Common Stock · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-042091 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 245,331 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| July 11, 2023 Filed Jul 12, 2023 16:38 UTC | ForgeRock, Inc. FORG · Entity 15406 | Exercise / conversionStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001209191-23-042091 · doc4.xml · derivative · entry 3 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,610,879 Underlying: Class B Common Stock · 50,000 shares Expires 2028-06-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option is fully vested and immediately exercisable. F1 · derivative.underlying: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| July 11, 2023 Filed Jul 12, 2023 16:38 UTC | ForgeRock, Inc. FORG · Entity 15406 | SaleClass A Common Stock | 50,000 | $19.84 | $992,175.00 |
DisclosureSEC source: 0001209191-23-042091 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 545,742 F3 · kind: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023. F4 · price: The sale price represents the weighted average price of the shares sold ranging from $19.56 to $20.11 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · balance_after: Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| July 11, 2023 Filed Jul 12, 2023 16:38 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass A Common Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-042091 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 595,742 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F2 · balance_after: Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 16:19 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-037010 · doc4.xml · derivative · entry 5 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 195,331 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 16:19 UTC | ForgeRock, Inc. FORG · Entity 15406 | Exercise / conversionClass B Common Stock · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-037010 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 245,331 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 16:19 UTC | ForgeRock, Inc. FORG · Entity 15406 | Exercise / conversionStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001209191-23-037010 · doc4.xml · derivative · entry 3 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,660,879 Underlying: Class B Common Stock · 50,000 shares Expires 2028-06-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option is fully vested and immediately exercisable. F1 · derivative.underlying: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 16:19 UTC | ForgeRock, Inc. FORG · Entity 15406 | SaleClass A Common Stock | 50,000 | $19.49 | $974,445.00 |
DisclosureSEC source: 0001209191-23-037010 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 545,742 F3 · kind: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023. F4 · price: The sale price represents the weighted average price of the shares sold ranging from $19.43 to $19.565 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · balance_after: Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 16:19 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass A Common Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-037010 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 595,742 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. F2 · balance_after: Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| May 22, 2023 Filed May 24, 2023 18:16 UTC | ForgeRock, Inc. FORG · Entity 15406 | SaleClass A Common Stock | 10,076 | $19.91 | $200,571.85 |
DisclosureSEC source: 0001209191-23-031962 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 545,742 F1 · kind: Shares were sold to cover tax obligations in connection with the vesting of restricted stock units ("RSUs"). F2 · balance_after: Certain of these securities are RSUs. Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| April 01, 2023 Filed Apr 3, 2023 21:19 UTC | ForgeRock, Inc. FORG · Entity 15406 | GrantClass A Common Stock | 275,268 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-022447 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 555,818 F1 · shares: The reported securities represent restricted stock units ("RSUs"), 25% of which will vest on May 20, 2024 and 1/16th of the RSUs shall vest quarterly thereafter in equal installments, subject to the Reporting Person's continued service through each vesting date. F2 · balance_after: Certain of these securities are RSUs. Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| February 21, 2023 Filed Feb 22, 2023 19:27 UTC | ForgeRock, Inc. FORG · Entity 15406 | SaleClass A Common Stock | 40,538 | $19.78 | $801,975.42 |
DisclosureSEC source: 0001209191-23-011941 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,550 F1 · kind: Shares were sold to cover tax obligations in connection with the vesting of restricted stock units ("RSUs"). F2 · price: The sale price represents the weighted average price of the shares sold ranging from $19.78 to $20.10 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F3 · balance_after: Certain of these securities are RSUs. Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| February 20, 2022 Filed Feb 23, 2022 16:38 UTC | ForgeRock, Inc. FORG · Entity 15406 | GrantClass A Common Stock | 321,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-012246 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,088 F1 · shares: The reported securities represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock of ForgeRock, Inc. (the "Issuer"). 25% of the RSUs will vest on February 20, 2023, and 1/16th of the RSUs will vest quarterly thereafter in equal installments, subject to the Reporting Person's continued service through each vesting date. F2 · balance_after: These securities are RSUs. Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherClass B Common Stock · Derivative | 195,331 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 8 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,331 Underlying: Class A Common Stock · 195,331 shares Expires not disclosed F1 · derivative.exercise_price: 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. F1 · kind: 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. F1 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherStock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $7.86 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 7 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Class B Common Stock · 500,000 shares Expires 2031-02-12 F1 · kind: 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 · kind: Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. F1 · price: 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. F5 · derivative.exercise_date: 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherStock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $7.86 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 6 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2031-02-12 F1 · kind: 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 · kind: Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. F1 · price: 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. F5 · derivative.exercise_date: 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherStock Option (right to buy) · Derivative | 400,000 | $0.00 Strike: $4.83 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 5 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Class B Common Stock · 400,000 shares Expires 2030-02-08 F1 · kind: 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 · kind: Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. F1 · price: 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. F4 · derivative.exercise_date: 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 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherStock Option (right to buy) · Derivative | 400,000 | $0.00 Strike: $4.83 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 400,000 shares Expires 2030-02-08 F1 · kind: 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 · kind: Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. F1 · price: 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. F4 · derivative.exercise_date: 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 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherStock Option (right to buy) · Derivative | 2,710,879 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 3 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,710,879 Underlying: Class B Common Stock · 2,710,879 shares Expires 2028-06-28 F1 · kind: 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 · kind: Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. F1 · price: 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. F3 · derivative.exercise_date: Option granted under the Issuer's 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherStock Option (right to buy) · Derivative | 2,710,879 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · derivative · entry 2 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,710,879 shares Expires 2028-06-28 F1 · kind: 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 · kind: Effective upon the occurrence of the Reclassification, all stock options outstanding under the Issuer's 2012 Equity Incentive Plan (the "2012 Plan") cover shares of Class B Common Stock. F1 · price: 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. F3 · derivative.exercise_date: Option granted under the Issuer's 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. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:33 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherCommon Stock | 195,331 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057264 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: 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. F1 · kind: 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. F1 · price: 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. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 16:54 UTC | ForgeRock, Inc. FORG · Entity 15406 | GrantStock Option (right to buy) · Derivative | 190,370 | $0.00 Strike: $25.00 | $0.00 |
DisclosureSEC source: 0001209191-21-056666 · doc4.xml · derivative · entry 1 Rosch Francis C · CIK 0001611878 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,370 Underlying: Class A Common Stock · 190,370 shares Expires 2031-09-14 F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option will vest on September 15, 2022, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:34 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 33,145 | $21.02 | $696,707.90 |
DisclosureSEC source: 0001209191-18-035852 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,881 F1 · shares: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. Read SEC document |
| March 05, 2018 Filed Mar 6, 2018 21:36 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 51,899 | $26.59 | $1,379,781.62 |
DisclosureSEC source: 0001209191-18-017278 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,026 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 6, 2017. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $26.46 to $26.72 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 21:41 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 3,741 | $26.51 | $99,173.91 |
DisclosureSEC source: 0001209191-18-015693 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,925 F1 · shares: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. F2 · balance_after: Includes 743 shares that were acquired through the 2008 Employee Stock Purchase Plan on February 15, 2018. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:32 UTC | Gen Digital Inc. SYMC · Entity 2098 | Exercise / conversionNon- Qualified Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $14.50 | $0.00 |
DisclosureSEC source: 0001209191-17-064432 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 shares Expires 2018-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:32 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 17,103 | $27.42 | $469,024.12 |
DisclosureSEC source: 0001209191-17-064432 · doc4.xml · nonDerivative · entry 3 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,923 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 6, 2017. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $27.21 to $27.58 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:32 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 40,000 | $27.42 | $1,096,948.00 |
DisclosureSEC source: 0001209191-17-064432 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,026 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 6, 2017. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $27.20 to $27.58 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:32 UTC | Gen Digital Inc. SYMC · Entity 2098 | Exercise / conversionCommon Stock | 40,000 | $14.50 | $580,000.00 |
DisclosureSEC source: 0001209191-17-064432 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Consumer Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,026 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 06, 2017 Filed Sep 7, 2017 20:37 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 4,749 | $29.71 | $141,089.47 |
DisclosureSEC source: 0001209191-17-051884 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,026 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $29.69 to $29.80 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 20:39 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 5,184 | $29.86 | $154,794.24 |
DisclosureSEC source: 0001209191-17-051645 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,775 Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 20:39 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 14,804 | $29.99 | $443,934.95 |
DisclosureSEC source: 0001209191-17-051645 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,959 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $29.84 to $30.14 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F4 · balance_after: Includes 249 shares that were acquired through the 2008 Employee Stock Purchase Plan on August 15, 2017. Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 21:09 UTC | Gen Digital Inc. SYMC · Entity 2098 | GrantCommon Stock | 116,460 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-039548 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,514 F1 · shares: Represents shares that are issuable pursuant to restricted stock units. 30% vests on June 1, 2018, 30% vests on June 1, 2019 and 40% vests on June 1, 2020. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 20:40 UTC | Gen Digital Inc. SYMC · Entity 2098 | Exercise / conversionNon- Qualified Stock Option (right to buy) · Derivative | 28,000 | $0.00 Strike: $10.86 | $0.00 |
DisclosureSEC source: 0001209191-17-038314 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,000 shares Expires 2017-09-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 20:40 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 28,000 | $30.22 | $846,039.60 |
DisclosureSEC source: 0001209191-17-038314 · doc4.xml · nonDerivative · entry 3 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,054 F4 · shares: Represents the aggregate of sales effected on the same day at different prices. F5 · balance_after: Represents the weighted average sales price per share. The shares sold at prices ranging from $30.21 to $30.24 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 20:40 UTC | Gen Digital Inc. SYMC · Entity 2098 | Exercise / conversionCommon Stock | 28,000 | $10.86 | $304,080.00 |
DisclosureSEC source: 0001209191-17-038314 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,054 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 20:40 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 19,344 | $30.13 | $582,799.90 |
DisclosureSEC source: 0001209191-17-038314 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,054 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $29.87 to $30.33 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:47 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 21,113 | $30.34 | $640,568.42 |
DisclosureSEC source: 0001209191-17-037775 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,398 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.