Filing Details
- Accession Number:
- 0001415889-25-008968
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2025-03-25 19:20:04
- Reporting Period:
- 2025-03-21
- Filing Date:
- 2025-03-25
- Accepted Time:
- 2025-03-25 19:20:04
- 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 | 2025-03-21 | 187,500 | $0.00 | 518,910 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2025-03-21 | 85,001 | $70.04 | 433,909 | 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 | 2025-03-21 | 56,250 | $0.00 | 56,250 | $0.00 |
| Class B Common Stock | Restricted Stock Units | Disposition | 2025-03-21 | 6,250 | $0.00 | 6,250 | $0.00 |
| Class B Common Stock | Restricted Stock Units | Disposition | 2025-03-21 | 100,000 | $0.00 | 100,000 | $0.00 |
| Class B Common Stock | Restricted Stock Units | Disposition | 2025-03-21 | 25,000 | $0.00 | 25,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2025-03-21 | 187,500 | $0.00 | 187,500 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2025-03-21 | 187,500 | $0.00 | 187,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2028-03-30 | No | 4 | M | Direct | |
| 25,000 | 2029-04-13 | No | 4 | M | Direct | |
| 275,000 | 2030-03-24 | No | 4 | M | Direct | |
| 225,000 | 2031-03-25 | No | 4 | M | Direct | |
| 187,500 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Includes 367 shares purchased through the Issuer's employee stock purchase plan on March 20, 2025.
- 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).
- The RSUs shall vest as follows: 50,000 shares subject to the RSU vested on March 15, 2024, 100,000 shares subject to the RSU vest on March 15, 2025, 125,000 shares vest on March 15, 2026, and 150,000 shares vest on March 15, 2027, 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: 10% of the shares subject to the RSU vest on March 15, 2025, 20% of the shares subject to the RSU vest on March 15, 2026, 35% of the shares subject to the RSU vest on March 15, 2027, and 35% of the shares subject to the RSU vest on March 15, 2028, 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.
Billionaire Hedge Funds
