Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
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
Jointly reported with Parks Jeffrey T, Riverwood Capital Partners III (Parallel - A) L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel - B) L.P.
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
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-23 · Disposition to issuer · Disposed 11,323 · Balance 0 F1: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of board of directors of ForgeRock, Inc. (the "Issuer") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This fling shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F2: 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 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"). F3: 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"). F4: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy: RCP III AIV L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-08-23 · Disposition to issuer · Disposed 2,938,640 · Balance 0 F2: 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 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"). F3: 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"). F5: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy: Riverwood Capital Partners III (Parallel-A) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-08-23 · Disposition to issuer · Disposed 610,992 · Balance 0 F2: 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 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"). F3: 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"). F6: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy: Riverwood Capital Partners Ill (Parallel-B) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-08-23 · Disposition to issuer · Disposed 1,018,318 · Balance 0 F2: 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 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"). F3: 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"). F7: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy: RCP III AIV L.P. | 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 1,641,559 · Balance 0 F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3: 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"). F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement. F5: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy: Riverwood Capital Partners III (Parallel-A) L.P. | 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 341,306 · Balance 0 F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3: 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"). F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement. F6: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy: Riverwood Capital Partners Ill (Parallel-B) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-08-23 · Disposition to issuer · Disposed 568,845 · Balance 0 F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3: 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"). F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement. F7: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of board of directors of ForgeRock, Inc. (the "Issuer") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This fling shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any.
F2: 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 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").
F3: 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").
F4: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes.
F5: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P.
F6: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P.
F7: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P.
F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration.
F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass B Common Stock · Derivative | 568,845 | $23.25 Strike: $0.00 | $13,225,646.25 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · derivative · entry 7 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Riverwood Capital Partners Ill (Parallel-B) L.P. Disclosed balance after: 0 Underlying: Common Stock · 568,845 shares Expires not disclosed F8 · shares: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3 · 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"). F9 · 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. F9 · 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. F7 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass B Common Stock · Derivative | 341,306 | $23.25 Strike: $0.00 | $7,935,364.50 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · derivative · entry 6 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Riverwood Capital Partners III (Parallel-A) L.P. Disclosed balance after: 0 Underlying: Common Stock · 341,306 shares Expires not disclosed F8 · shares: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3 · 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"). F9 · 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. F9 · 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. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass B Common Stock · Derivative | 1,641,559 | $23.25 Strike: $0.00 | $38,166,246.75 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · derivative · entry 5 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: RCP III AIV L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 1,641,559 shares Expires not disclosed F8 · shares: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3 · 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"). F9 · 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. F9 · 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. F5 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass A Common Stock | 1,018,318 | $23.25 | $23,675,893.50 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · nonDerivative · entry 4 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Riverwood Capital Partners Ill (Parallel-B) L.P. Disclosed balance after: 0 F2 · 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 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"). F3 · 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"). F7 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass A Common Stock | 610,992 | $23.25 | $14,205,564.00 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · nonDerivative · entry 3 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Riverwood Capital Partners III (Parallel-A) L.P. Disclosed balance after: 0 F2 · 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 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"). F3 · 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"). F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass A Common Stock | 2,938,640 | $23.25 | $68,323,380.00 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: RCP III AIV L.P. Disclosed balance after: 0 F2 · 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 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"). F3 · 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"). F5 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:10 UTC | ForgeRock, Inc. FORG · Entity 15406 | Disposition to issuerClass A Common Stock | 11,323 | $23.25 | $263,259.75 |
DisclosureSEC source: 0000899243-23-018484 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · security: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of board of directors of ForgeRock, Inc. (the "Issuer") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This fling shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F2 · 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 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"). F3 · 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"). F4 · ownership.direct: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes. Read SEC document |
| May 25, 2022 Filed May 27, 2022 21:09 UTC | ForgeRock, Inc. FORG · Entity 15406 | GrantClass A Common Stock | 2,266 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-020049 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,323 F1 · security: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of the board of directors of the Issuer (the "Board") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F2 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of the Issuer, subject to the applicable vesting schedule and conditions of each RSU. F5 · 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 Mr. Park's continued service as a member of 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. F4 · ownership.direct: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes. Read SEC document |
| May 25, 2022 Filed May 27, 2022 21:09 UTC | ForgeRock, Inc. FORG · Entity 15406 | GrantClass A Common Stock | 9,057 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-020049 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director · 10% owner Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,057 F1 · security: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of the board of directors of the Issuer (the "Board") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F2 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of the Issuer, subject to the applicable vesting schedule and conditions of each RSU. F3 · 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 Mr. Park's continued service through the applicable vesting date. F4 · ownership.direct: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes. Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:46 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 780,244 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016619 · doc4.xml · derivative · entry 6 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 568,845 Underlying: Class A Common Stock · 780,244 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. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:46 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 468,147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016619 · doc4.xml · derivative · entry 5 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 341,306 Underlying: Class A Common Stock · 468,147 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F4 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:46 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 2,251,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016619 · doc4.xml · derivative · entry 4 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,641,559 Underlying: Class A Common Stock · 2,251,610 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:46 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 780,244 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016619 · doc4.xml · nonDerivative · entry 3 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,018,318 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:46 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 468,147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016619 · doc4.xml · nonDerivative · entry 2 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 610,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F4 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| May 02, 2022 Filed May 4, 2022 16:46 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 2,251,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016619 · doc4.xml · nonDerivative · entry 1 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,938,640 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| December 10, 2021 Filed Feb 14, 2022 06:17 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 238,074 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006041 · doc4.xml · derivative · entry 6 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,349,089 Underlying: Class A Common Stock · 238,074 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| December 10, 2021 Filed Feb 14, 2022 06:17 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 142,845 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006041 · doc4.xml · derivative · entry 5 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 809,453 Underlying: Class A Common Stock · 142,845 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F4 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| December 10, 2021 Filed Feb 14, 2022 06:17 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionClass B Common Stock · Derivative | 687,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006041 · doc4.xml · derivative · entry 4 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,893,169 Underlying: Class A Common Stock · 687,030 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| December 10, 2021 Filed Feb 14, 2022 06:17 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 238,074 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006041 · doc4.xml · nonDerivative · entry 3 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 238,074 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| December 10, 2021 Filed Feb 14, 2022 06:17 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 142,845 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006041 · doc4.xml · nonDerivative · entry 2 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 142,845 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F4 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| December 10, 2021 Filed Feb 14, 2022 06:17 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 687,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006041 · doc4.xml · nonDerivative · entry 1 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 687,030 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherClass B Common Stock · Derivative | 1,587,163 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 18 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,587,163 Underlying: Class A Common Stock · 1,587,163 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherClass B Common Stock · Derivative | 952,298 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 17 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 952,298 Underlying: Class A Common Stock · 952,298 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherClass B Common Stock · Derivative | 4,580,199 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 16 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,580,199 Underlying: Class A Common Stock · 4,580,199 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. F3 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionSeries E-1 Preferred Stock · Derivative | 431,539 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 15 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 431,539 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.exercise_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.expiration_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.underlying: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionSeries E-1 Preferred Stock · Derivative | 258,924 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 14 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 258,924 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.exercise_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.expiration_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.underlying: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionSeries E-1 Preferred Stock · Derivative | 1,245,326 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 13 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,245,326 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.exercise_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.expiration_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.underlying: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F3 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionSeries E Preferred Stock · Derivative | 1,155,624 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 12 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,155,624 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.exercise_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.expiration_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.underlying: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionSeries E Preferred Stock · Derivative | 693,374 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 11 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 693,374 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.exercise_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.expiration_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.underlying: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionSeries E Preferred Stock · Derivative | 3,334,873 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · derivative · entry 10 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 3,334,873 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.exercise_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.expiration_date: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · derivative.underlying: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F3 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherCommon Stock | 1,587,163 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 9 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · security: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherCommon Stock | 952,298 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 8 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · security: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherCommon Stock | 4,580,199 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 7 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · security: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F3 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 431,539 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 6 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,587,163 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 258,924 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 5 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 952,298 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 1,245,326 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 4 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,580,199 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F3 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 1,155,624 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 3 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,155,624 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F6 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 693,374 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 2 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 693,374 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. Read SEC document |
| September 20, 2021 Filed Sep 27, 2021 21:32 UTC | ForgeRock, Inc. FORG · Entity 15406 | ConversionCommon Stock | 3,334,873 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-037917 · doc4.xml · nonDerivative · entry 1 Riverwood Capital Partners III (Parallel - A) L.P. · CIK 0001818732 · 10% owner Riverwood Capital III L.P. · CIK 0001884103 · 10% owner Riverwood Capital GP III Ltd. · CIK 0001883779 · 10% owner RCP III AIV L.P. · CIK 0001883778 · 10% owner Riverwood Capital Partners III (Parallel - B) L.P. · CIK 0001746848 · 10% owner Parks Jeffrey T · CIK 0001550469 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,334,873 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: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · kind: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F1 · price: All shares of Series E Preferred Stock, par value $0.001 per share ("Series E Preferred Stock") and Series E-1 Preferred Stock, par value $0.001 per share ("Series E-1 Preferred Stock"), of ForgeRock, Inc. (the "Issuer") automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering (the "IPO") of its Class A common stock, par value $0.001 per share ("Class A Common Stock"), without payment of consideration. Immediately thereafter, but still prior to the closing of the IPO, all shares of Common Stock were reclassified into shares of the Issuer's Class B common stock, par value $0.001 per share ("Class B Common Stock"). F3 · ownership.nature: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. 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.