Barker Peter M's Form 4 filing
ForgeRock, Inc. (FORG) · filed Mar 29, 2023
- Accession no.
- 0001209191-23-021532
- Filed
- Mar 29, 2023
- Trade date
- Mar 27, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 6 derivative transactions. Open-market sales total $1.99M. It was filed 2 days after the trade.
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 |
|---|---|
| Barker Peter MCIK 0001612102 | Officer (Chief Product Officer & EVP) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 27, 2023 | Class A Common Stock | CConversionAcquired | +24,521 | –F1 | – | 115,762 | Direct | |
| Mar 27, 2023 | Class A Common Stock | CConversionAcquired | +72,917 | –F1 | – | 188,679 | Direct | |
| Mar 27, 2023 | Class A Common Stock | SSaleDisposed | −97,438 | $20.39F3 | −$1,986,760.82 | 91,241 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 27, 2023 | Class B Common Stock | MOption exerciseDisposed | −24,521 | $0.00 | $0 | 0 | Direct | |
| Mar 27, 2023 | Class A Common Stock | MOption exerciseAcquired | +24,521 | $0.00 | $0 | 24,521 | Direct | |
| Mar 27, 2023 | Class A Common Stock | CConversionDisposed | −24,521 | $0.00 | $0 | 0 | Direct | |
| Mar 27, 2023 | Class B Common Stock | MOption exerciseDisposed | −72,917 | $0.00 | $0 | 25,000 | Direct | |
| Mar 27, 2023 | Class A Common Stock | MOption exerciseAcquired | +72,917 | $0.00 | $0 | 72,917 | Direct | |
| Mar 27, 2023 | Class A Common Stock | CConversionDisposed | −72,917 | $0.00 | $0 | 0 | Direct |
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
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 2 transactions in Table I.
- F3
The sale price represents the weighted average price of the shares sold ranging from $20.31 to $20.415 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.