Filing Details

Accession Number:
0001415889-24-029930
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-12-19 20:00:20
Reporting Period:
2024-12-17
Accepted Time:
2024-12-19 20:00:20
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
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 7,187 $0.00 349,347 No 4 C Direct
Class A Common Stock Disposition 2024-12-17 3,973 $72.34 345,374 No 4 S Direct
Class A Common Stock Acquisiton 2024-12-18 1,000 $0.00 346,374 No 4 C Direct
Class A Common Stock Disposition 2024-12-18 1,800 $72.70 344,574 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S Direct
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 7,187 $0.00 7,187 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2024-12-17 7,187 $0.00 7,187 $0.00
Class A Common Stock Class B Common Stock Disposition 2024-12-17 7,187 $0.00 7,187 $0.00
Class B Common Stock Stock Option (Right to Buy) Disposition 2024-12-18 1,000 $0.00 1,000 $7.99
Class A Common Stock Class B Common Stock Acquisiton 2024-12-18 1,000 $0.00 1,000 $0.00
Class A Common Stock Class B Common Stock Disposition 2024-12-18 1,000 $0.00 1,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
35,938 2029-04-13 No 4 M Direct
7,187 No 4 M Direct
0 No 4 C Direct
88,450 2028-09-17 No 4 M Direct
1,000 No 4 M Direct
0 No 4 C Direct
Footnotes
  1. 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).
  2. This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted July 15, 2024.
  3. Each RSU represents a contingent right to receive one share of Class B Common Stock.
  4. 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).
  5. 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.
  6. 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter.