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

Role
Director
Signature
/s/ Anne-Kathrin Lalendran, Attorney-in-Fact
Issuer symbol
RBRK
Transactions as of
24 Apr 2024
Net transactions value
$0
Form type
3
Filing time
24 Apr 2024, 17:01:11 UTC
Previous filing
15 Dec 2023
Next filing
01 May 2024
SEC
View on sec.gov

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) 24 Apr 2024 Class B Common Stock 165,946 $4.38 Direct F1
holding RBRK Series A Preferred Stock 24 Apr 2024 Class B Common Stock 371,912 By John and Sandra Thompson Trust F2, F3
holding RBRK Series B Preferred Stock 24 Apr 2024 Class B Common Stock 408,580 By John and Sandra Thompson Trust F2, F3
holding RBRK Series C Preferred Stock 24 Apr 2024 Class B Common Stock 72,955 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