Alexander Ott - 20 Sep 2021 Form 4 Insider Report for ForgeRock, Inc. (FORG)

Role: Director
Signature: /s/ Samuel J. Fleischmann, by Power of Attorney for Alexander Ott
Issuer symbol: FORG
Transactions as of: 20 Sep 2021
Transactions value $: $0
Form type: 4
Filing time: 22 Sep 2021, 16:32:37 UTC
Previous filing: 15 Sep 2021
Next filing: 27 May 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	FORG	Common Stock	Conversion of derivative security	$0	+384,862		$0	384,862	20 Sep 2021	See Footnote	F1, F2, F3, F4
transaction	FORG	Common Stock	Other	$0	-384,862	-100%	$0^*	0	20 Sep 2021	See Footnote	F1, F4
transaction	FORG	Common Stock	Other	$0	-504,286	-100%	$0^*	0	20 Sep 2021	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	FORG	Series A Preferred Stock	Conversion of derivative security	$0	-285,714	-100%	$0^*	0	20 Sep 2021	Common Stock	285,714		See Footnote	F2, F4
transaction	FORG	Series B Preferred Stock	Conversion of derivative security	$0	-99,148	-100%	$0^*	0	20 Sep 2021	Common Stock	99,148		See Footnote	F3, F4
transaction	FORG	Class B Common Stock	Other	$0	+504,286		$0	504,286	20 Sep 2021	Class A Common Stock	504,286		Direct	F1
transaction	FORG	Class B Common Stock	Other	$0	+384,862		$0	384,862	20 Sep 2021	Class A Common Stock	384,862		See Footnote	F1, F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer.
F2	Each share of Series A Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F3	Each share of Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the IPO and had no expiration date.
F4	Shares held by CrossContinental Ventures. Mr. Ott has sole voting and dispositive control over the shares held by CrossContinental Ventures and thus may be deemed to beneficially own the shares held by CrossContinental Ventures.