John Wendell Thompson - Apr 24, 2024 Form 3 Insider Report for Rubrik, Inc. (RBRK)

Role
Director
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, 05:01 PM
Previous filing
Dec 15, 2023
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 Stock Option (Right to Buy) Apr 24, 2024 Class B Common Stock 166K $4.38 Direct F1
holding RBRK Series A Preferred Stock Apr 24, 2024 Class B Common Stock 372K By John and Sandra Thompson Trust F2, F3
holding RBRK Series B Preferred Stock Apr 24, 2024 Class B Common Stock 409K By John and Sandra Thompson Trust F2, F3
holding RBRK Series C Preferred Stock Apr 24, 2024 Class B Common Stock 73K By John and Sandra Thompson Trust F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 1/48 of the shares subject to the option vested on February 22, 2018, and 1/48 of the shares vested monthly thereafter.
F2 The Series A Preferred Stock, Series B Preferred Stock and Series C 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 held of record by John and Sandra Thompson Trust, for which he Reporting Person serves as a co-trustee and shares voting and dispositive power with his spouse.

Remarks:

Exhibit 24 Power of Attorney