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Filing Details

Accession Number:: 0001415889-24-024118
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-09-30 20:38:56
Reporting Period:: 2024-09-26

Accepted Time:: 2024-09-30 20:38:56
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1943896	Rubrik Inc.	RBRK	Services-Prepackaged Software (7372)	464560494

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
2020220	Kumar Kiran Choudary	C/O Rubrik Inc. 3495 Deer Creek Road Palo Alto CA 94304	Chief Financial Officer	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2024-09-26	101,875	$0.00	545,284	No	4	C	Direct
Class A Common Stock	Disposition	2024-09-26	51,924	$31.41	493,360	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class B Common Stock	Restricted Stock Units	Disposition	2024-09-26	87,500	$0.00	87,500	$0.00
Class B Common Stock	Restricted Stock Units	Disposition	2024-09-26	14,375	$0.00	14,375	$0.00
Class A Common Stock	Class B Common Stock	Acquisiton	2024-09-26	101,875	$0.00	101,875	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2024-09-26	101,875	$0.00	101,875	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2027-11-19	No	4	M	Direct
43,125	2029-04-13	No	4	M	Direct
101,875		No	4	M	Direct
0		No	4	C	Direct

Footnotes

Includes 367 additional shares of Class A Common Stock acquired under the Rubrik, Inc. 2024 Employee Stock Purchase Plan on September 20, 2024. This transaction is exempt from Rule 16b-3(c). Also includes shares of Class A Common Stock that were converted from Class B Common Stock in connection with the Issuer's initial public offering but inadvertently reported as Class B Common Stock in prior reports.
This sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain Restricted Stock Units (RSUs).
Each RSU represents a contingent right to receive one share of Class B Common Stock.
The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/16 of the shares subject to the RSU vested on December 15, 2020, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).
The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).
Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock upon the sale or transfer of such share of Class B Common Stock, subject to certain exceptions, and in certain other circumstances described in the Issuer's amended and restated certificate of incorporation. Each share of Class B Common Stock will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.