Form 4 ForgeRock, Inc. For: Sep 20 Filed by: MADERA PAUL S

September 22, 2021 4:13 PM EDT

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:		3235-0287
Expires:	December 31, 2014
Estimated average burden
hours per response:		0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person ^*

MADERA PAUL S

(Last)

(First)

(Middle)

C/O FORGEROCK, INC.

201 MISSION STREET, SUITE 2900

(Street)

SAN FRANCISCO

94105

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
ForgeRock, Inc. [ FORG ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/20/2021

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock ⁽¹⁾	09/20/2021		C		3,566,841	A	$ 0 ⁽¹⁾ ⁽²⁾ ⁽³⁾ ⁽⁴⁾	3,954,737	I	See Footnote ⁽⁵⁾ ⁽⁶⁾
Common Stock ⁽¹⁾	09/20/2021		C		88,084	A	$ 0 ⁽¹⁾ ⁽²⁾ ⁽³⁾ ⁽⁴⁾	97,663	I	See Footnote ⁽⁶⁾ ⁽⁷⁾
Common Stock ⁽¹⁾	09/20/2021		J⁽¹⁾		3,954,737	D	$ 0 ⁽¹⁾	0	I	See Footnote ⁽⁵⁾ ⁽⁶⁾
Common Stock ⁽¹⁾	09/20/2021		J⁽¹⁾		97,663	D	$ 0 ⁽¹⁾	0	I	See Footnote ⁽⁶⁾ ⁽⁷⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series C Preferred Stock	⁽²⁾	09/20/2021		C			2,732,442	⁽²⁾	⁽²⁾	Common Stock	2,732,442	$ 0 ⁽²⁾	0	I	See Footnote ⁽⁵⁾ ⁽⁶⁾
Series C Preferred Stock	⁽²⁾	09/20/2021		C			67,478	⁽²⁾	⁽²⁾	Common Stock	67,478	$ 0 ⁽²⁾	0	I	See Footnote ⁽⁶⁾ ⁽⁷⁾
Series D Preferred Stock	⁽³⁾	09/20/2021		C			375,867	⁽³⁾	⁽³⁾	Common Stock	375,867	$ 0 ⁽³⁾	0	I	See Footnote ⁽⁵⁾ ⁽⁶⁾
Series D Preferred Stock	⁽³⁾	09/20/2021		C			9,282	⁽³⁾	⁽³⁾	Common Stock	9,282	$ 0 ⁽³⁾	0	I	See Footnote ⁽⁶⁾ ⁽⁷⁾
Series E Preferred Stock	⁽⁴⁾	09/20/2021		C			458,532	⁽⁴⁾	⁽⁴⁾	Common Stock	458,532	$ 0 ⁽⁴⁾	0	I	See Footnote ⁽⁵⁾ ⁽⁶⁾
Series E Preferred Stock	⁽⁴⁾	09/20/2021		C			11,324	⁽⁴⁾	⁽⁴⁾	Common Stock	11,324	$ 0 ⁽⁴⁾	0	I	See Footnote ⁽⁶⁾ ⁽⁷⁾
Class B Common Stock	⁽¹⁾	09/20/2021		J⁽¹⁾		3,954,737		⁽¹⁾	⁽¹⁾	Class A Common Stock	3,954,737	$ 0 ⁽¹⁾	3,954,737	I	See Footnote ⁽⁵⁾ ⁽⁶⁾
Class B Common Stock	⁽¹⁾	09/20/2021		J⁽¹⁾		97,663		⁽¹⁾	⁽¹⁾	Class A Common Stock	97,663	$ 0 ⁽¹⁾	97,663	I	See Footnote ⁽⁶⁾ ⁽⁷⁾

Explanation of Responses:

1. 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 pubic 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.

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

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

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

5. Shares are held by Meritech Partners IV L.P. ("MCP IV"). Meritech Capital Associates IV L.L.C. ("GP IV"), the general partner of MCP IV, has sole voting and dispositive power with respect to the shares held by MCP IV. Paul Madera ("Madera"), George Bischof ("Bischof"), Craig Sherman ("Sherman") and Rob Ward ("Ward"), the managing members of GP IV, share the voting and dispositive power with respect to the shares held by MCP IV.

6. Each of the Reporting Persons disclaims the existence of a "group" and 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.

7. Shares are held by Meritech Capital Affiliates IV L.P. ("MCA IV"). GP IV, the general partner of MCA IV, has sole voting and dispositive power with respect to the shares held by MCA IV. Madera, Bischof, Sherman and Ward, the managing members of GP IV, share the voting and dispositive power with respect to the shares held by MCA IV.

	/s/ Samuel J. Fleischmann, by Power of Attorney for Paul S. Madera	09/22/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FREE Breaking News Alerts from StreetInsider.com!

StreetInsider.com Top Tickers, 4/23/2024

1. GM
2. TSLA
3. SPY
4. NVDA
5. SPOT

6. CDNS
7. ADBE
8. AMZN
9. MTTR
10. CPRI

Create E-mail Alert Related Categories

SEC Filings

Sign up for StreetInsider Free!

Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!

Form 4 ForgeRock, Inc. For: Sep 20 Filed by: MADERA PAUL S

You May Also Be Interested In

Create E-mail Alert Related Categories

Sign up for StreetInsider Free!

Free News Feed