Fernandez Juan P 的 Form 4/A 修正申報
修正ForgeRock, Inc.（FORG），2022/12/29 申報
- 申報編號
- 0001209191-22-062904
- 申報時間
- 2022/12/29
- 交易日
- 2022/11/16
- 申報延遲
- 43 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/11/18
這份申報列了 1 筆非衍生性交易。沿用原件裡沒有重述的 4 筆交易。公開市場賣出合計 $15.8 萬。交易後 43 天申報。
這份修正申報重述了 0001209191-22-057875（2022/11/18 申報）的一部分，沒有重述的交易仍然有效，列在下面。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Fernandez Juan PCIK 0001882631 | 高階主管（CFO, Executive VP - Global） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/16 | Class A Common Stock | S賣出處分 | −7,152 | $22.07F2 | −$157,844.64 | 233,599 | 直接 |
沿用原件的交易
這份修正申報只重述了原件的一部分。原件其他的交易仍然有效，網站的交易表把它們算在這份修正申報底下。
來自 0001209191-22-057875（2022/11/18 申報）。
非衍生性證券（表 I）
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/16 | Class A Common Stock | C轉換取得 | +7,152 | –F2 | – | 247,903 | 直接 |
衍生性證券（表 II）
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/16 | Class B Common Stock | M行使選擇權處分 | −7,152 | $0.00 | $0 | 261,533 | 直接 | |
| 2022/11/16 | Class A Common Stock | M行使選擇權取得 | +7,152 | $0.00 | $0 | 7,152 | 直接 | |
| 2022/11/16 | Class A Common Stock | C轉換處分 | −7,152 | $0.00 | $0 | 0 | 直接 |
原件的附註
這幾筆交易的價格在原件上引用的附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.