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 |
|---|---|---|---|---|---|---|
| May 22, 2017 Filed May 24, 2017 20:46 UTC | Gen Digital Inc. SYMC · Entity 2098 | GrantPerformance-based Restricted Stock Units · Derivative | 48,638 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-035002 · doc4.xml · derivative · entry 4 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,276 Underlying: Common Stock · 48,638 shares Expires not disclosed F2 · derivative.exercise_price: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 11, 2016. F2 · derivative.exercise_date: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 11, 2016. F2 · derivative.expiration_date: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 11, 2016. F2 · balance_after: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 11, 2016. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:46 UTC | Gen Digital Inc. SYMC · Entity 2098 | Exercise / conversionPerformance-based Restricted Stock Units · Derivative | 70,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-035002 · doc4.xml · derivative · entry 3 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 70,190 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: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 13, 2015. F1 · derivative.exercise_date: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 13, 2015. F1 · derivative.expiration_date: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 13, 2015. F1 · balance_after: Represents performance-based restricted stock units (PRUs) originally reported by the reporting person in a Form 4 filed with the Commission on May 13, 2015. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:46 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 33,548 | $29.58 | $992,349.84 |
DisclosureSEC source: 0001209191-17-035002 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,511 Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:46 UTC | Gen Digital Inc. SYMC · Entity 2098 | Exercise / conversionCommon Stock | 70,190 | $29.58 | $2,076,220.20 |
DisclosureSEC source: 0001209191-17-035002 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,059 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 |
| March 03, 2017 Filed Mar 7, 2017 22:05 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 6,762 | $29.11 | $196,841.82 |
DisclosureSEC source: 0001209191-17-018812 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,869 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. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 21:40 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 14,585 | $28.80 | $420,008.62 |
DisclosureSEC source: 0001209191-17-016664 · doc4.xml · nonDerivative · entry 2 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,631 F2 · 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. F3 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (2). F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $28.67 to $28.98 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, 2017 Filed Mar 2, 2017 21:40 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 4,069 | $29.09 | $118,367.21 |
DisclosureSEC source: 0001209191-17-016664 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,216 F1 · balance_after: Includes 839 shares that were acquired through the 2008 Employee Stock Purchase Plan on February 15, 2017. Read SEC document |
| December 09, 2016 Filed Dec 12, 2016 21:56 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 40,000 | $24.73 | $989,056.00 |
DisclosureSEC source: 0001209191-16-154723 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,446 F1 · shares: Represents the aggregate of sales effected on the same day at different prices. F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $24.62 to $24.85 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 01, 2016 Filed Dec 2, 2016 21:32 UTC | Gen Digital Inc. SYMC · Entity 2098 | Tax withholdingCommon Stock | 38,449 | $23.76 | $913,548.24 |
DisclosureSEC source: 0001209191-16-153036 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,446 Read SEC document |
| September 07, 2016 Filed Sep 8, 2016 21:30 UTC | Gen Digital Inc. SYMC · Entity 2098 | SaleCommon Stock | 3,336 | $24.88 | $82,999.68 |
DisclosureSEC source: 0001209191-16-140601 · doc4.xml · nonDerivative · entry 1 Rosch Francis C · CIK 0001611878 · EVP, Norton Business Unit 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,895 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.