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	14,132,696		By Lightspeed Venture Partners IX, L.P.	F1, F2
holding	RBRK	Series B Preferred Stock							Apr 24, 2024	Class B Common Stock	3,329,928		By Lightspeed Venture Partners IX, L.P.	F1, F2
holding	RBRK	Series C Preferred Stock							Apr 24, 2024	Class B Common Stock	2,940,030		By Lightspeed Venture Partners Select II, L.P.	F1, F3
holding	RBRK	Series D Preferred Stock							Apr 24, 2024	Class B Common Stock	8,015,457		By Lightspeed SPV I, LLC	F1, F4
holding	RBRK	Series D Preferred Stock							Apr 24, 2024	Class B Common Stock	843,732		By Lightspeed Venture Partners Select II, L.P.	F1, F3
holding	RBRK	Series E Preferred Stock							Apr 24, 2024	Class B Common Stock	5,094,719		By Lightspeed SPV I-B, LLC	F1, F5
holding	RBRK	Series E Preferred Stock							Apr 24, 2024	Class B Common Stock	3,566,303		By Lightspeed SPV I-C, LLC	F1, F6
holding	RBRK	Series E Preferred Stock							Apr 24, 2024	Class B Common Stock	297,192		By Lightspeed Venture Partners IX, L.P.	F1, F2
holding	RBRK	Series E Preferred Stock							Apr 24, 2024	Class B Common Stock	339,648		By Lightspeed Venture Partners Select II, L.P.	F1, F3
holding	RBRK	Class B Common Stock							Apr 24, 2024	Class A Common Stock	406,637		By Lightspeed Venture Partners X, L.P.	F7, F8
holding	RBRK	Class B Common Stock							Apr 24, 2024	Class A Common Stock	18,084		By Lightspeed Affiliates X, L.P	F7, F9

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.