# EDGAR Filing Document

**Accession Number:** 0001543916
**File Stem:** 0001209191-23-020570
**Filing Date:** 2023-3
**Character Count:** 7184
**Document Hash:** 12b4e3bbc4d635faa17d93d10c269c82
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-020570.hdr.sgml**: 20230322

**ACCESSION NUMBER**: 0001209191-23-020570

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230320

**FILED AS OF DATE**: 20230322

**DATE AS OF CHANGE**: 20230322

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Barker Peter M
- **CENTRAL INDEX KEY:** 0001612102

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40787
- **FILM NUMBER:** 23753683

**MAIL ADDRESS:**
- **STREET 1:** C/O FORGEROCK, INC.
- **STREET 2:** 201 MISSION STREET, SUITE 2900
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94105
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ForgeRock, Inc.
- **CENTRAL INDEX KEY:** 0001543916
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **IRS NUMBER:** 331223363
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 201 MISSION STREET
- **STREET 2:** SUITE 2900
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94105
- **BUSINESS PHONE:** (415) 599-1100

**MAIL ADDRESS:**
- **STREET 1:** 201 MISSION STREET
- **STREET 2:** SUITE 2900
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94105

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[x] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Barker Peter M<br><sub>(Last) (First) (Middle)</sub><br>C/O FORGEROCK, INC.<br>201 MISSION STREET, SUITE 2900<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94105<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Product Officer & EVP_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ForgeRock, Inc. [ FORG ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-03-20 |  | C |  | 100000 | A | <sup>(1)</sup> | 191241 | D |  |
| Class A Common Stock | 2023-03-20 |  | S<sup>(2)</sup> |  | 100000 | D | 20.2034<sup>(3)</sup> | 91241<sup>(4)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (right to buy) | $3.60 | 2023-03-20 |  | M |  |  | 100000 | <sup>(5)</sup> | 2028-03-29 | Class B Common Stock<sup>(1)</sup> | 100000 | $0.00 | 24521 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-03-20 |  | M |  | 100000 |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 100000 | $0.00 | 100000 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-03-20 |  | C |  |  | 100000 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 100000 | $0.00 | 0 | D |  |

---

### Footnotes:

(1) 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.

(2) 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 1, 2022.

(3) The sale price represents the weighted average price of the shares sold ranging from $20.10 to $20.31 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.

(4) Certain of these securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU.

(5) This option is fully vested and immediately exercisable.

**Signature:** /s/ Samuel J. Fleischmann, by Power of Attorney for Peter M. Barker  
**Date:** 2023-03-22

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**