John Wendell Thompson - Apr 29, 2024 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Role
Director
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, 06:05 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 Series A Preferred Stock Conversion of derivative security $0 -372K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 372K By John and Sandra Thompson Trust F1, F2
transaction RBRK Series B Preferred Stock Conversion of derivative security $0 -409K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 409K By John and Sandra Thompson Trust F1, F2
transaction RBRK Series C Preferred Stock Conversion of derivative security $0 -73K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 73K By John and Sandra Thompson Trust F1, F2
transaction RBRK Class B Common Stock Conversion of derivative security $0 +853K $0.00 853K Apr 29, 2024 Class A Common Stock 853K By John and Sandra Thompson Trust F2, F3
holding RBRK Class B Common Stock 100K Apr 29, 2024 Class A Common Stock 100K Direct F3
* 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 and Series C 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 The shares are held of record by John and Sandra Thompson Trust, for which the Reporting Person serves as a co-trustee and shares voting and dispositive power with his spouse.
F3 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.