Weiss Warren M

SEC source: 0001209191-23-047319 · doc4.xml · derivative · entry 3

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Foundation Capital VII Principals Fund, L.L.C.

Disclosed balance after: 0

Underlying: Class A Common Stock · 128,156 shares

Expires not disclosed

F2 · price: In connection with the Merger, these shares were 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").

F3 · derivative.exercise_date: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement.

F3 · derivative.expiration_date: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement.

F4 · ownership.nature: Foundation Capital Management Co. VII, L.L.C. is the General Partner of Foundation Capital VII, L.P. and the Manager of Foundation Capital VII Principals Fund, L.L.C. and has sole voting and investment power over the shares held by Foundation Capital VI, L.P. and Foundation Capital VII Principals Fund, L.L.C., or collectively, the Foundation Entities. Ashu Garg, William B. Elmore, Paul R. Holland, Charles P. Moldow, Steven P. Vassallo and Warren M. Weiss are the Managers of Foundation Capital Management Co. VII, L.L.C. and share such powers.

SEC source: 0001209191-23-047319 · doc4.xml · derivative · entry 2

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Foundation Capital VII, L.P.

Disclosed balance after: 0

Underlying: Class A Common Stock · 8,415,644 shares

Expires not disclosed

F2 · price: In connection with the Merger, these shares were 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").

F3 · derivative.exercise_date: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement.

F3 · derivative.expiration_date: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement.

F4 · ownership.nature: Foundation Capital Management Co. VII, L.L.C. is the General Partner of Foundation Capital VII, L.P. and the Manager of Foundation Capital VII Principals Fund, L.L.C. and has sole voting and investment power over the shares held by Foundation Capital VI, L.P. and Foundation Capital VII Principals Fund, L.L.C., or collectively, the Foundation Entities. Ashu Garg, William B. Elmore, Paul R. Holland, Charles P. Moldow, Steven P. Vassallo and Warren M. Weiss are the Managers of Foundation Capital Management Co. VII, L.L.C. and share such powers.

SEC source: 0001209191-23-047319 · doc4.xml · nonDerivative · entry 1

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Represents shares of Class A common stock 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: In connection with the Merger, these shares were 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").

SEC source: 0001209191-22-032650 · doc4.xml · nonDerivative · entry 2

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,126

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of ForgeRock, Inc. (the "Issuer"), subject to the applicable vesting schedule and conditions of each RSU.

F3 · shares: The reported securities represent RSUs. 25% of the RSUs will vest on each Quarterly Vesting Date (as defined below) following May 20, 2022, subject to the Reporting Person's continued service as a member of the board of directors of the Issuer (the "Board"), as a member of a committee of the Board, or as chairperson of a committee of the Board, as the case may be, through each applicable vesting date. A "Quarterly Vesting Date" is each of February 20, May 20, August 20 and November 20.

SEC source: 0001209191-22-032650 · doc4.xml · nonDerivative · entry 1

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,057

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of ForgeRock, Inc. (the "Issuer"), subject to the applicable vesting schedule and conditions of each RSU.

F2 · shares: The reported securities represent RSUs. 100% of the RSUs will vest on the earlier of (i) May 25, 2023 and (ii) the day before the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 14

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 128,156

Underlying: Class A Common Stock · 128,156 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.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 13

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,415,644

Underlying: Class A Common Stock · 8,415,644 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.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 12

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,110 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.

F5 · derivative.exercise_price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · derivative.exercise_date: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · derivative.expiration_date: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 11

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 204,244 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.

F5 · derivative.exercise_price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · derivative.exercise_date: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · derivative.expiration_date: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 10

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 5,660 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.

F4 · derivative.exercise_price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · derivative.exercise_date: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · derivative.expiration_date: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 9

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 371,698 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.

F4 · derivative.exercise_price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · derivative.exercise_date: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · derivative.expiration_date: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 8

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 18,034 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.

F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 7

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,184,254 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.

F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 6

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 101,352 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.

F2 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F2 · price: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · derivative · entry 5

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 6,655,448 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.

F2 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F2 · price: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · nonDerivative · entry 4

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

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.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · nonDerivative · entry 3

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

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.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · nonDerivative · entry 2

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 128,156

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 · 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 · 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.

F2 · price: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F7 · ownership.nature: Shares are held by Foundation Capital VII Principals Fund, L.L.C. ("Principals"). As a managing member of Management, the manager of Principals, Mr. Weiss may be deemed to beneficially own the shares held by Principals. Mr. Weiss disclaims beneficial ownership of the shares held by Principals, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-21-057250 · doc4.xml · nonDerivative · entry 1

Weiss Warren M · CIK 0001399347 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,415,644

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 · 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 · 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.

F2 · price: Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F3 · price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F4 · price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F5 · price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.

F6 · ownership.nature: Shares are held by Foundation Capital VII, L.P. ("FC VII"). As a managing member of Foundation Capital Management Co. VII, L.L.C. ("Management"), the general partner of FC VII, Mr. Weiss may be deemed to beneficially own the shares held by FC VII. Mr. Weiss disclaims beneficial ownership of the shares held by FC VII, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-003059 · doc4.xml · derivative · entry 6

Weiss Warren M · CIK 0001399347 · Director · Former 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,283 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represented a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F5 · kind: Pursuant to the Merger Agreement, the vesting of restricted stock units for an aggregate of 19,283 shares was accelerated immediately prior to the effective time of the merger, and in accordance with the Merger Agreement, these accelerated restricted stock units were cancelled and converted into the right to receive cash consideration of $16.25 per share.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, the vesting of restricted stock units for an aggregate of 19,283 shares was accelerated immediately prior to the effective time of the merger, and in accordance with the Merger Agreement, these accelerated restricted stock units were cancelled and converted into the right to receive cash consideration of $16.25 per share.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, the vesting of restricted stock units for an aggregate of 19,283 shares was accelerated immediately prior to the effective time of the merger, and in accordance with the Merger Agreement, these accelerated restricted stock units were cancelled and converted into the right to receive cash consideration of $16.25 per share.

SEC source: 0001209191-18-003059 · doc4.xml · nonDerivative · entry 5

Weiss Warren M · CIK 0001399347 · Director · Former 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 17, 2017, by and among the Issuer, Itron, Inc. and Ivory Merger Sub, Inc. (the "Merger Agreement") in exchange for cash consideration of $16.25 per share.

SEC source: 0001209191-18-003059 · doc4.xml · nonDerivative · entry 4

Weiss Warren M · CIK 0001399347 · Director · Former 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Foundation Capital IV Principals Fund, LLC

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 17, 2017, by and among the Issuer, Itron, Inc. and Ivory Merger Sub, Inc. (the "Merger Agreement") in exchange for cash consideration of $16.25 per share.

F2 · ownership.nature: The Reporting Person is a managing member of Foundation Capital Management Co. IV, LLC. Foundation Capital Management Co. IV, LLC is the general partner of Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. As such, the Reporting Person may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-003059 · doc4.xml · nonDerivative · entry 3

Weiss Warren M · CIK 0001399347 · Director · Former 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: FC IV Active Advisors Fund, LLC

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 17, 2017, by and among the Issuer, Itron, Inc. and Ivory Merger Sub, Inc. (the "Merger Agreement") in exchange for cash consideration of $16.25 per share.

F2 · ownership.nature: The Reporting Person is a managing member of Foundation Capital Management Co. IV, LLC. Foundation Capital Management Co. IV, LLC is the general partner of Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. As such, the Reporting Person may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-003059 · doc4.xml · nonDerivative · entry 2

Weiss Warren M · CIK 0001399347 · Director · Former 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital, LLC

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 17, 2017, by and among the Issuer, Itron, Inc. and Ivory Merger Sub, Inc. (the "Merger Agreement") in exchange for cash consideration of $16.25 per share.

F3 · ownership.nature: The Reporting Person is a manager of Foundation Capital, LLC. Foundation Capital, LLC is under common control with Foundation Capital Management Co. IV, LLC. As such, the Reporting Person may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-003059 · doc4.xml · nonDerivative · entry 1

Weiss Warren M · CIK 0001399347 · Director · Former 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital IV, L.P.

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 17, 2017, by and among the Issuer, Itron, Inc. and Ivory Merger Sub, Inc. (the "Merger Agreement") in exchange for cash consideration of $16.25 per share.

F2 · ownership.nature: The Reporting Person is a managing member of Foundation Capital Management Co. IV, LLC. Foundation Capital Management Co. IV, LLC is the general partner of Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. As such, the Reporting Person may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-050260 · doc4.xml · nonDerivative · entry 3

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% owner

Moldow Charles · CIK 0001452009 · Former 10% owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% owner

Weiss Warren M · CIK 0001399347 · Former 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital Management Co. VI, L.L.C.

Disclosed balance after: 0

F3 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital Management Co. VI, L.L.C. effected following the close of the trading market on August 24, 2017 without consideration to its members. Transaction pursuant to a 10b5-1 Plan dated May 31, 2016.

F2 · ownership.nature: Foundation Capital Management Co. VI, L.L.C. ("FCM VI") is the sole general partner and manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC, respectively, and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of FCM VI, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein. Mr. Vassallo is a member of the Board of Directors of the Issuer and, accordingly, files separate Section 16 reports.

SEC source: 0001209191-17-050260 · doc4.xml · nonDerivative · entry 2

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% owner

Moldow Charles · CIK 0001452009 · Former 10% owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% owner

Weiss Warren M · CIK 0001399347 · Former 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital Management Co. VI, L.L.C.

Disclosed balance after: 283,250

F2 · kind: Foundation Capital Management Co. VI, L.L.C. ("FCM VI") is the sole general partner and manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC, respectively, and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of FCM VI, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein. Mr. Vassallo is a member of the Board of Directors of the Issuer and, accordingly, files separate Section 16 reports.

F2 · ownership.nature: Foundation Capital Management Co. VI, L.L.C. ("FCM VI") is the sole general partner and manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC, respectively, and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of FCM VI, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein. Mr. Vassallo is a member of the Board of Directors of the Issuer and, accordingly, files separate Section 16 reports.

SEC source: 0001209191-17-050260 · doc4.xml · nonDerivative · entry 1

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% owner

Moldow Charles · CIK 0001452009 · Former 10% owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% owner

Weiss Warren M · CIK 0001399347 · Former 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital VI, L.P.

Disclosed balance after: 9,741,468

F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI, L.P. effected following the close of the trading market on August 24, 2017 without consideration to its limited partners and its general partner, Foundation Capital Management Co. VI, L.L.C. Transaction pursuant to a 10b5-1 Plan dated May 31, 2016.

F2 · ownership.nature: Foundation Capital Management Co. VI, L.L.C. ("FCM VI") is the sole general partner and manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC, respectively, and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of FCM VI, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein. Mr. Vassallo is a member of the Board of Directors of the Issuer and, accordingly, files separate Section 16 reports.

SEC source: 0001209191-17-036296 · doc4.xml · derivative · entry 7

Weiss Warren M · CIK 0001399347 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,283

Underlying: Common Stock · 19,283 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F6 · derivative.exercise_date: RSUs vest as to 100% of the shares at the earlier date of: (i) the Issuer's 2018 Annual Meeting of Stockholders or (ii) May 25, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

F6 · derivative.expiration_date: RSUs vest as to 100% of the shares at the earlier date of: (i) the Issuer's 2018 Annual Meeting of Stockholders or (ii) May 25, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

SEC source: 0001209191-17-036296 · doc4.xml · derivative · entry 6

Weiss Warren M · CIK 0001399347 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,638 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F3 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on June 2, 2016.

F5 · derivative.exercise_date: The RSUs vested in full on May 25, 2017.

F5 · derivative.expiration_date: The RSUs vested in full on May 25, 2017.

SEC source: 0001209191-17-036296 · doc4.xml · nonDerivative · entry 5

Weiss Warren M · CIK 0001399347 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,465

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.

F3 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on June 2, 2016.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 10

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Moldow Family Trust dated 11/11/2003

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F10 · ownership.nature: The shares were held by the Moldow Family Trust dated 11/11/2003 (the "Moldow Family Trust"). Charles Moldow is a trustee of the Moldow Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Family Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 9

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vassallo Family Revocable Trust dated 7/15/02

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F9 · ownership.nature: The shares were held by the Vassallo Family Revocable Trust dated 7/15/02 (the "Vassallo Trust"). Steve P. Vassallo is a trustee of the Vassallo Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Vassallo Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 8

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Elmore Family Investments B, LP

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F8 · ownership.nature: The shares were held by Elmore Family Investments B, LP (the "Elmore Partnership"). William B. Elmore is a general partner of the Elmore Partnership. The Reporting Person disclaims beneficial ownership of the shares held by the Elmore Partnership except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 7

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By William B. Elmore Revocable Trust

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F7 · ownership.nature: The shares were held by the William B. Elmore Revocable Trust (the "Elmore Trust"). William B. Elmore is a trustee of the Elmore Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Elmore Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 6

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By William B. Elmore Gift Fund

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 5

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Michael N. & Mary G. Schuh 1990 Family Trust

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F6 · ownership.nature: The shares were held by the Michael N. & Mary G. Schuh 1990 Family Trust (the "Schuh Trust"). Michael N. Schuh is a trustee of the Schuh Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Schuh Trust except to the extent of his proportionate pecuniary interest therein

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 4

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Koontz Revocable Trust U/A/D 6/29/1998

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F5 · ownership.nature: The shares were held by the Koontz Revocable Trust U/A/D 6/29/1998 (the "Koontz Trust"). Paul G. Koontz is a trustee of the Koontz Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Koontz Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 3

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Holland Childrens Trust

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F4 · ownership.nature: The shares were held by The Holland Children's Trust (the "Holland Children's Trust"). Paul R. Holland is a trustee of the Holland Children's Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Holland Children's Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 2

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Holland/Yates Family Trust dtd 7/23/1999

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F3 · ownership.nature: The shares were held by the Holland/Yates Family Trust dtd 7/23/1999 (the "Holland Family Trust"). Paul R. Holland is a trustee of the Holland Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Holland Family Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-156364 · doc4.xml · nonDerivative · entry 1

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · Former 10% Owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · Former 10% Owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · Former 10% Owner

Foundation Capital, LLC · CIK 0001615420 · Former 10% Owner

HOLLAND PAUL R · CIK 0001205501 · Former 10% Owner

KOONTZ PAUL G · CIK 0001205496 · Former 10% Owner

SCHUH MICHAEL N · CIK 0001205498 · Former 10% Owner

ELMORE WILLIAM B · CIK 0001078748 · Former 10% Owner

Weiss Warren M · CIK 0001399347 · Former 10% Owner

Moldow Charles · CIK 0001452009 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital VI, L.P.

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation ("Adobe") and Tiger Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Adobe in exchange for cash consideration of $14.00 per share, net to the seller in cash, without interest thereon and subject to any required tax withholding.

F2 · ownership.nature: Foundation Capital Management Co. VI, L.L.C. is the sole general partner of Foundation Capital VI, L.P. and the sole manager of Foundation Capital VI Principals Fund, LLC and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of Foundation Capital Management Co. VI, L.L.C., and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, L.L.C. disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-16-150792 · doc4.xml · nonDerivative · entry 7

Weiss Warren M · CIK 0001399347 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By SHANE T. WEISS GST EXEMPT TRUST

Disclosed balance after: 0

F3 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $14.53 to $14.64 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F6 · ownership.nature: The shares are held by the SHANE T. WEISS GST EXEMPT TRUST (the "SHANE Trust"). Warren M. Weiss is a trustee of the SHANE Trust. The Reporting Person disclaims beneficial ownership of the shares held by the SHANE Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-150792 · doc4.xml · nonDerivative · entry 6

Weiss Warren M · CIK 0001399347 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By ALLY L. WEISS GST EXEMPT TRUST

Disclosed balance after: 0

F3 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $14.53 to $14.64 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: The shares are held by the ALLY L. WEISS GST EXEMPT TRUST (the "ALLY Trust"). Warren M. Weiss is a trustee of the ALLY Trust. The Reporting Person disclaims beneficial ownership of the shares held by the ALLY Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-150792 · doc4.xml · nonDerivative · entry 5

Weiss Warren M · CIK 0001399347 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Warren M. Weiss Trust UA dated 7/20/2005

Disclosed balance after: 0

F3 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $14.53 to $14.64 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F4 · ownership.nature: The shares are held by The Warren M. Weiss Trust UA dated 7/20/2005 (the "Weiss Trust"). Warren M. Weiss is a trustee of the Weiss Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Weiss Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-144857 · doc4.xml · nonDerivative · entry 29

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · 10% owner

Foundation Capital, LLC · CIK 0001615420 · 10% owner

HOLLAND PAUL R · CIK 0001205501 · 10% owner

KOONTZ PAUL G · CIK 0001205496 · 10% owner

SCHUH MICHAEL N · CIK 0001205498 · 10% owner

ELMORE WILLIAM B · CIK 0001078748 · 10% owner

Weiss Warren M · CIK 0001399347 · 10% owner

Moldow Charles · CIK 0001452009 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foundation Capital, LLC

Disclosed balance after: 0

F27 · kind: On October 4, 2016, Foundation Capital, LLC sold 268 shares of stock pursuant to a 10b5-1 Plan dated May 18, 2016.

F28 · price: All shares were sold at this price.

F6 · ownership.nature: Paul R. Holland, Warren M. Weiss, Charles Moldow and Steve Vassallo are managers of Foundation Capital, LLC. Foundation Capital, LLC is under common control with Foundation Capital Management Co. VI, L.L.C. As such, each of the managers may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managers disclaim beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-16-144857 · doc4.xml · nonDerivative · entry 28

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · 10% owner

Foundation Capital, LLC · CIK 0001615420 · 10% owner

HOLLAND PAUL R · CIK 0001205501 · 10% owner

KOONTZ PAUL G · CIK 0001205496 · 10% owner

SCHUH MICHAEL N · CIK 0001205498 · 10% owner

ELMORE WILLIAM B · CIK 0001078748 · 10% owner

Weiss Warren M · CIK 0001399347 · 10% owner

Moldow Charles · CIK 0001452009 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Moldow Family Trust dated 11/11/2003

Disclosed balance after: 4,440

F20 · kind: Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.

F26 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.81 to $9.29 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F17 · ownership.nature: The shares are held by the Moldow Family Trust dated 11/11/2003 (the "Moldow Family Trust"). Charles Moldow is a trustee of the Moldow Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Family Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-144857 · doc4.xml · nonDerivative · entry 27

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · 10% owner

Foundation Capital, LLC · CIK 0001615420 · 10% owner

HOLLAND PAUL R · CIK 0001205501 · 10% owner

KOONTZ PAUL G · CIK 0001205496 · 10% owner

SCHUH MICHAEL N · CIK 0001205498 · 10% owner

ELMORE WILLIAM B · CIK 0001078748 · 10% owner

Weiss Warren M · CIK 0001399347 · 10% owner

Moldow Charles · CIK 0001452009 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Moldow 2008 Children's Trust

Disclosed balance after: 0

F20 · kind: Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.

F25 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.86 to $9.29 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F18 · ownership.nature: The shares are held by The Moldow 2008 Children's Trust (the "Moldow Children's Trust"). Charles Moldow is a trustee of the Moldow Children's Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Children's Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-144857 · doc4.xml · nonDerivative · entry 26

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · 10% owner

Foundation Capital, LLC · CIK 0001615420 · 10% owner

HOLLAND PAUL R · CIK 0001205501 · 10% owner

KOONTZ PAUL G · CIK 0001205496 · 10% owner

SCHUH MICHAEL N · CIK 0001205498 · 10% owner

ELMORE WILLIAM B · CIK 0001078748 · 10% owner

Weiss Warren M · CIK 0001399347 · 10% owner

Moldow Charles · CIK 0001452009 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By SHANE T. WEISS GST EXEMPT TRUST

Disclosed balance after: 0

F20 · kind: Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.

F24 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.25 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F16 · ownership.nature: The shares are held by the SHANE T. WEISS GST EXEMPT TRUST (the "SHANE Trust"), a trust controlled by or for the benefit of one or more of Warren M. Weiss' family members. The Reporting Person disclaims beneficial ownership of the shares held by the SHANE Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-144857 · doc4.xml · nonDerivative · entry 25

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · 10% owner

Foundation Capital, LLC · CIK 0001615420 · 10% owner

HOLLAND PAUL R · CIK 0001205501 · 10% owner

KOONTZ PAUL G · CIK 0001205496 · 10% owner

SCHUH MICHAEL N · CIK 0001205498 · 10% owner

ELMORE WILLIAM B · CIK 0001078748 · 10% owner

Weiss Warren M · CIK 0001399347 · 10% owner

Moldow Charles · CIK 0001452009 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By ALLY L. WEISS GST EXEMPT TRUST

Disclosed balance after: 0

F20 · kind: Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.

F23 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.28 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F15 · ownership.nature: The shares are held by the ALLY L. WEISS GST EXEMPT TRUST (the "ALLY Trust"), a trust controlled by or for the benefit of one or more of Warren M. Weiss' family members. The Reporting Person disclaims beneficial ownership of the shares held by the ALLY Trust except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001209191-16-144857 · doc4.xml · nonDerivative · entry 24

Foundation Capital Management Co. VI, LLC · CIK 0001451965 · 10% owner

FOUNDATION CAPITAL VI LP · CIK 0001433196 · 10% owner

Foundation Capital VI Principals Fund, LLC · CIK 0001451964 · 10% owner

Foundation Capital, LLC · CIK 0001615420 · 10% owner

HOLLAND PAUL R · CIK 0001205501 · 10% owner

KOONTZ PAUL G · CIK 0001205496 · 10% owner

SCHUH MICHAEL N · CIK 0001205498 · 10% owner

ELMORE WILLIAM B · CIK 0001078748 · 10% owner

Weiss Warren M · CIK 0001399347 · 10% owner

Moldow Charles · CIK 0001452009 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vassallo Family Revocable Trust dated 7/15/02

Disclosed balance after: 12,975

F20 · kind: Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.

F22 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.84 to $9.25 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F19 · ownership.nature: The shares are held by the Vassallo Family Revocable Trust dated 7/15/02 (the "Vassallo Trust"). Steve P. Vassallo is a trustee of the Vassallo Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Vassallo Trust except to the extent of his proportionate pecuniary interest therein.