Ott Alexander's Form 4 filing
ForgeRock, Inc. (FORG) · filed Jun 13, 2023
- Accession no.
- 0001209191-23-036878
- Filed
- Jun 13, 2023
- Trade date
- Jun 9, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.85M. It was filed 4 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 |
|---|---|
| Ott AlexanderCIK 0001496305 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2023 | Class A Common Stock | CConversionDisposed | −301,000 | $0.00 | $0 | 588,148 | 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 1 transaction in Table I.
- F4
The sale price represents the weighted average price of the shares sold ranging from $19.12 to $19.70 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.
Remarks
The Plan was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) in effect at the time of adoption.