Fernandez Juan P's Form 4 filing
ForgeRock, Inc. (FORG) · filed Aug 18, 2023
- Accession no.
- 0001209191-23-046600
- Filed
- Aug 18, 2023
- Trade date
- Nov 17, 2021-Aug 16, 2023
- Filing delay
- 639 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $151.9K. It was filed 639 days after the trade, past the 2-business-day deadline.
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 17, 2021 | Class A Common Stock | CConversionAcquired | +133,009 | –F1 | – | 748,402 | Direct | |
| Dec 3, 2021 | Class A Common Stock | CConversionAcquired | +18,116 | –F1 | – | 766,518 | Direct | |
| Aug 16, 2023 | Class A Common Stock | SSaleDisposed | −7,152 | $21.24F4 | −$151,908.48 | 759,366 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2021 | Class A Common Stock | CConversionDisposed | −133,009 | $0.00 | $0 | 18,116 | Direct | |
| Dec 3, 2021 | Class A Common Stock | CConversionDisposed | −18,116 | $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.
- F4
The sale price represents the weighted average price of the shares sold ranging from $21.15 to $21.28 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.