Bipul Sinha - Apr 29, 2024 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Role: Chairman of the Board and CEO, Director, 10%+ Owner
Signature: /s/ Anne-Kathrin Lalendran, Attorney-in-Fact
Stock symbol: RBRK
Transactions as of: Apr 29, 2024
Transactions value $: $0
Form type: 4
Date filed: 5/1/2024, 05:58 PM
Previous filing: Apr 24, 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
transaction	RBRK	Founders Preferred Stock	Conversion of derivative security	$0	-1.8M	-100%	$0.00^*	0	Apr 29, 2024	Class B Common Stock	1.8M		Direct	F1
transaction	RBRK	Class B Common Stock	Conversion of derivative security	$0	+1.8M	+17.07%	$0.00	12.3M	Apr 29, 2024	Class A Common Stock	1.8M		Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The Founders Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.
F2	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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.

Content

The Founders Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.