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

Role
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, 05:36 PM
Previous filing
Dec 8, 2021
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 Series A Preferred Stock Apr 24, 2024 Class B Common Stock 14.1M By Lightspeed Venture Partners IX, L.P. F1, F2
holding RBRK Series B Preferred Stock Apr 24, 2024 Class B Common Stock 3.33M By Lightspeed Venture Partners IX, L.P. F1, F2
holding RBRK Series C Preferred Stock Apr 24, 2024 Class B Common Stock 2.94M By Lightspeed Venture Partners Select II, L.P. F1, F3
holding RBRK Series D Preferred Stock Apr 24, 2024 Class B Common Stock 8.02M By Lightspeed SPV I, LLC F1, F4
holding RBRK Series D Preferred Stock Apr 24, 2024 Class B Common Stock 844K By Lightspeed Venture Partners Select II, L.P. F1, F3
holding RBRK Series E Preferred Stock Apr 24, 2024 Class B Common Stock 5.09M By Lightspeed SPV I-B, LLC F1, F5
holding RBRK Series E Preferred Stock Apr 24, 2024 Class B Common Stock 3.57M By Lightspeed SPV I-C, LLC F1, F6
holding RBRK Series E Preferred Stock Apr 24, 2024 Class B Common Stock 297K By Lightspeed Venture Partners IX, L.P. F1, F2
holding RBRK Series E Preferred Stock Apr 24, 2024 Class B Common Stock 340K By Lightspeed Venture Partners Select II, L.P. F1, F3
holding RBRK Class B Common Stock Apr 24, 2024 Class A Common Stock 407K By Lightspeed Venture Partners X, L.P. F7, F8
holding RBRK Class B Common Stock Apr 24, 2024 Class A Common Stock 18.1K By Lightspeed Affiliates X, L.P F7, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock each is convertible on a one-for-one basis into Class B Common Stock at any time at the holder's election and will convert automatically upon the closing of the Issuer's initial public offering and has no expiration date.
F2 Shares are held by Lightspeed Venture Partners IX, L.P. ("Lightspeed IX"). Lightspeed General Partner IX, L.P. ("LGP IX") is the general partner of Lightspeed IX. Lightspeed Ultimate General Partner IX, Ltd. ("LUGP IX") is the general partner of LGP IX. The Reporting Person is a director of LUGP IX and shares voting and dispositive power with respect to the shares held by Lightspeed IX. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F3 Shares are held by Lightspeed Venture Partners Select II, L.P. ("Lightspeed Select II"). Lightspeed General Partner Select II, L.P. ("LGP Select II") is the general partner of Lightspeed Select II. Lightspeed Ultimate General Partner Select II, Ltd. ("LUGP Select II") is the general partner of LGP Select II. The Reporting Person is a director of LUGP Select II and shares voting and dispositive power with respect to the shares held by Lightspeed Select II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F4 Shares are held by Lightspeed SPV I, LLC ("Lightspeed SPV I"). LS SPV Management, LLC ("LS SPV") is the manager of Lightspeed SPV I. The Reporting Person is a managing member of LS SPV and shares voting and dispositive power with respect to the shares held by Lightspeed SPV I. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F5 Shares are held by Lightspeed SPV I-B, LLC ("Lightspeed SPV I-B"). LS SPV is the manager of Lightspeed SPV I-B. The Reporting Person is a managing member of LS SPV and shares voting and dispositive power with respect to the shares held by Lightspeed SPV I-B. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F6 Shares are held by Lightspeed SPV I-C, LLC ("Lightspeed SPV I-C"). LS SPV is the manager of Lightspeed SPV I-C. The Reporting Person is a managing member of LS SPV and shares voting and dispositive power with respect to the shares held by Lightspeed SPV I-C. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F7 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.
F8 Shares are held by Lightspeed Venture Partners X, L.P. ("Lightspeed X"). Lightspeed General Partner X, L.P. ("LGP X") is the general partner of Lightspeed X. Lightspeed Ultimate General Partner X, Ltd. ("LUGP X") is the general partner of LGP X. The Reporting Person is a director of LUGP X and shares voting and dispositive power with respect to the shares held by Lightspeed X. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F9 Shares are held by Lightspeed Affiliates X, L.P. ("Lightspeed Affiliates X"). LGP X is the general partner of Lightspeed Affiliates X. LUGP X is the general partner of LGP X. The Reporting Person is a director of LUGP X and shares voting and dispositive power with respect to the shares held by Lightspeed Affiliates X. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.