Form 4 ForgeRock, Inc. For: Sep 20 Filed by: Riverwood Capital Partners III (Parallel - A) L.P.

September 27, 2021 9:33 PM EDT

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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
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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 *
Riverwood Capital Partners III (Parallel - A) L.P.

(Last) (First) (Middle)
70 WILLOW ROAD, SUITE 100

(Street)
MENLO PARK CA 94025

(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)
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)
Form filed by One Reporting Person
X 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)
Code V Amount (A) or (D) Price
Common Stock (1) 09/20/2021   C (1)   3,334,873 A (1) 3,334,873 I See Footnote (3) (4)
Common Stock (1) 09/20/2021   C (1)   693,374 A (1) 693,374 I See Footnote (4) (5)
Common Stock (1) 09/20/2021   C (1)   1,155,624 A (1) 1,155,624 I See Footnote (4) (6)
Common Stock (1) 09/20/2021   C (1)   1,245,326 A (1) 4,580,199 I See Footnote (3) (4)
Common Stock (1) 09/20/2021   C (1)   258,924 A (1) 952,298 I See Footnote (4) (5)
Common Stock (1) 09/20/2021   C (1)   431,539 A (1) 1,587,163 I See Footnote (4) (6)
Common Stock (1) 09/20/2021   J (1)   4,580,199 D (1) 0 I See Footnote (3) (4)
Common Stock (1) 09/20/2021   J (1)   952,298 D (1) 0 I See Footnote (4) (5)
Common Stock (1) 09/20/2021   J (1)   1,587,163 D (1) 0 I See Footnote (4) (6)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series E Preferred Stock (1) 09/20/2021   C (1)     3,334,873   (1)   (1) Common Stock (1) 3,334,873 $ 0 0 I See Footnote (3) (4)
Series E Preferred Stock (1) 09/20/2021   C (1)     693,374   (1)   (1) Common Stock (1) 693,374 $ 0 0 I See Footnote (4) (5)
Series E Preferred Stock (1) 09/20/2021   C (1)     1,155,624   (1)   (1) Common Stock (1) 1,155,624 $ 0 0 I See Footnote (4) (6)
Series E-1 Preferred Stock (1) 09/20/2021   C (1)     1,245,326   (1)   (1) Common Stock (1) 1,245,326 $ 0 0 I See Footnote (3) (4)
Series E-1 Preferred Stock (1) 09/20/2021   C (1)     258,924   (1)   (1) Common Stock (1) 258,924 $ 0 0 I See Footnote (4) (5)
Series E-1 Preferred Stock (1) 09/20/2021   C (1)     431,539   (1)   (1) Common Stock (1) 431,539 $ 0 0 I See Footnote (4) (6)
Class B Common Stock (2) 09/20/2021   J (1)   4,580,199     (2)   (2) Class A Common Stock 4,580,199 (1) 4,580,199 I See Footnote (3) (4)
Class B Common Stock (2) 09/20/2021   J (1)   952,298     (2)   (2) Class A Common Stock 952,298 (1) 952,298 I See Footnote (4) (5)
Class B Common Stock (2) 09/20/2021   J (1)   1,587,163     (2)   (2) Class A Common Stock 1,587,163 (1) 1,587,163 I See Footnote (4) (6)
Explanation of Responses:
1. 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").
2. 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.
3. 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.
4. 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.
5. 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.
6. 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").
Remarks:
Jeffrey T. Parks is a member of the board of director of the Issuer and a member of the investment committee and a shareholder of Riverwood Capital GP III Ltd. He disclaims beneficial ownership with respect to the shares beneficially owned by the Riverwood Entities except to the extent of his pecuniary interest therein.
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P. 09/27/2021
** Signature of Reporting Person Date
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-A) L.P. 09/27/2021
** Signature of Reporting Person Date
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-B) L.P. 09/27/2021
** Signature of Reporting Person Date
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd., general partner of RCP III AIV L.P. 09/27/2021
** Signature of Reporting Person Date
/s/ Jeffrey T. Parks, Director of Riverwood Capital GP III Ltd. 09/27/2021
** Signature of Reporting Person Date
/s/ Jeffrey T. Parks 09/27/2021
** 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.


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