Fernandez Juan P's Form 4/A amendment
AmendedForgeRock, Inc. (FORG) · filed Dec 29, 2022
- Accession no.
- 0001209191-22-062904
- Filed
- Dec 29, 2022
- Trade date
- Nov 16, 2022
- Filing delay
- 43 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 18, 2022
This filing lists 1 non-derivative transaction. It carries over 4 transactions from the original filing that it did not restate. Open-market sales total $157.8K. It was filed 43 days after the trade.
This amendment restates part of 0001209191-22-057875 (filed Nov 18, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Fernandez Juan PCIK 0001882631 | Officer (CFO, Executive VP - Global) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2022 | Class A Common Stock | SSaleDisposed | −7,152 | $22.07F2 | −$157,844.64 | 233,599 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-22-057875 (filed Nov 18, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2022 | Class A Common Stock | CConversionAcquired | +7,152 | –F2 | – | 247,903 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2022 | Class B Common Stock | MOption exerciseDisposed | −7,152 | $0.00 | $0 | 261,533 | Direct | |
| Nov 16, 2022 | Class A Common Stock | MOption exerciseAcquired | +7,152 | $0.00 | $0 | 7,152 | Direct | |
| Nov 16, 2022 | Class A Common Stock | CConversionDisposed | −7,152 | $0.00 | $0 | 0 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
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.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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 9, 2021, and as further amended August 22, 2022.
- F2
The sale price represents the weighted average price of the shares sold ranging from $22.05 to $22.11 per share. Upon request by the Commission staff, ForgeRock, Inc. (the "Issuer") or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
This number reflects the holdings of the Reporting Person as of November 16, 2022.
- F4
On November 18, 2022, the Reporting Person filed a Form 4 which inadvertently reported the exercise of stock options to acquire 7,152 shares of Class A Common Stock, which exercise did not occur. Accordingly, this amendment corrects the number of securities beneficially owned by the Reporting Person on November 16, 2022, which was overstated by 7,152 in the Form 4 filed on November 18, 2022. The number of securities beneficially owned by the Reporting Person on November 16, 2022 was 233,599. Thus, the securities beneficially owned as reported in Table I, Column 5 of all subsequent Forms 4 for the Reporting Person is similarly overstated by 7,152. As of December 29, 2022, the Reporting Person beneficially owns 236,447 securities through direct ownership.