Peter M. Barker - 01 Aug 2023 Form 4 Insider Report for ForgeRock, Inc.

Role
Chief Product Officer & EVP
Signature
/s/ Samuel J. Fleischmann, by Power of Attorney for Peter M. Barker
Issuer symbol
N/A
Transactions as of
01 Aug 2023
Net transactions value
-$42,826
Form type
4
Filing time
03 Aug 2023, 17:07:44 UTC
Previous filing
05 Jul 2023
Next filing
25 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction FORG Class A Common Stock Conversion of derivative security +2,084 +0.98% 214,754 01 Aug 2023 Direct F1
transaction FORG Class A Common Stock Sale $42,826 -2,084 -0.97% $20.55 212,670 01 Aug 2023 Direct F2, F3

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 Stock Option (right to buy) Options Exercise $0 -2,084 -13% $0.000000 14,583 01 Aug 2023 Class B Common Stock 2,084 $4.83 Direct F1, F4
transaction FORG Class B Common Stock Options Exercise $0 +2,084 $0.000000 2,084 01 Aug 2023 Class A Common Stock 2,084 Direct F1
transaction FORG Class B Common Stock Conversion of derivative security $0 -2,084 -100% $0.000000* 0 01 Aug 2023 Class A Common Stock 2,084 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date.
F2 The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 1, 2022.
F3 Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU.
F4 Twenty-five percent (25%) of the shares subject to the option vested on March 1, 2021; thereafter, the remaining number of shares subject to the option vest in equal monthly installments over the following thirty-six (36) months, subject to the Reporting Person continuing as a service provider through each such date.