Filing Details
- Accession Number:
- 0001415889-24-029929
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-12-19 20:00:15
- Reporting Period:
- 2024-12-17
- Accepted Time:
- 2024-12-19 20:00:15
- 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 |
|---|---|---|---|---|---|---|---|
| 2020217 | K. Brian Mccarthy | C/O Rubrik Inc. 3495 Deer Creek Road Palo Alto CA 94304 | Chief Revenue Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2024-12-17 | 62,500 | $0.00 | 375,045 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2024-12-17 | 28,485 | $72.34 | 346,560 | 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
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Restricted Stock Units | Disposition | 2024-12-17 | 56,250 | $0.00 | 56,250 | $0.00 |
| Class B Common Stock | Restricted Stock Units | Disposition | 2024-12-17 | 6,250 | $0.00 | 6,250 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2024-12-17 | 62,500 | $0.00 | 62,500 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2024-12-17 | 62,500 | $0.00 | 62,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 56,250 | 2028-03-30 | No | 4 | M | Direct | |
| 31,250 | 2029-04-13 | No | 4 | M | Direct | |
| 62,500 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- 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 RSUs shall vest as follows: 1/4 of the shares subject to the RSU vested on March 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).
- 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.
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