Arvind Nithrakashyap - Apr 24, 2024 Form 3 Insider Report for Rubrik, Inc. (RBRK)

Role
Chief Technology Officer, Director, 10%+ Owner
Signature
/s/ Anne-Kathrin Lalendran, Attorney-in-Fact
Stock symbol
RBRK
Transactions as of
Apr 24, 2024
Transactions value $
$0
Form type
3
Date filed
4/24/2024, 04:57 PM
Next filing
May 1, 2024

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding RBRK Class B Common Stock Apr 24, 2024 Class A Common Stock 8.9M Direct F1
holding RBRK Founders Preferred Stock Apr 24, 2024 Class B Common Stock 1.8M Direct F2
holding RBRK Class B Common Stock Apr 24, 2024 Class A Common Stock 200K By Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 The Founders Preferred Stock each is convertible on a one-for-one basis into Class B Common Stock at any time at the Reporting Person's election and will convert automatically upon the closing of the Issuer's initial public offering and has no expiration date.
F3 The shares are of held of record by Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust, for which the Reporting Person serves as trustee and shares voting and dispositive power with his spouse.

Remarks:

Exhibit 24 Power of Attorney