Paul S. Madera - Dec 31, 2021 Form 5 Insider Report for ForgeRock, Inc. (FORG)

Role
Director, 10%+ Owner
Signature
/s/ Amy B. Martin, by Power of Attorney for Paul S. Madera
Stock symbol
FORG
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/14/2022, 08:34 PM
Previous filing
Nov 2, 2021
Next filing
Mar 10, 2022

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 $0 +3.95M $0.00 3.95M Nov 29, 2021 See Footnote F1, F2, F3
transaction FORG Class A Common Stock Conversion of derivative security $0 +97.7K $0.00 97.7K Nov 29, 2021 See Footnote F1, F3, F4

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 Class B Common Stock Conversion of derivative security $0 -3.95M -100% $0.00* 0 Nov 29, 2021 Class A Common Stock 3.95M $0.00 See Footnote F1, F2, F3
transaction FORG Class B Common Stock Conversion of derivative security $0 -97.7K -100% $0.00* 0 Nov 29, 2021 Class A Common Stock 97.7K $0.00 See Footnote F1, F3, F4
* 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, par value $0.001 per share (the "Class B Common Stock") of ForgeRock, Inc. (the "Issuer") is convertible at any time at the option of the holder into one share of the Issuer's Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"). 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 Shares are held by Meritech Capital 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.
F3 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.
F4 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.