Asheem Chandna - Apr 29, 2024 Form 4 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 29, 2024
Transactions value $
$0
Form type
4
Date filed
5/1/2024, 06:11 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 B Preferred Stock Conversion of derivative security $0 -11.6M -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 11.6M By Greylock XIV Limited Partnership F1, F2
transaction RBRK Series C Preferred Stock Conversion of derivative security $0 -1.95M -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 1.95M By Greylock XIV Limited Partnership F1, F2
transaction RBRK Series D Preferred Stock Conversion of derivative security $0 -3.42M -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 3.42M By Greylock XIV Limited Partnership F1, F2
transaction RBRK Series E Preferred Stock Conversion of derivative security $0 -955K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 955K By Greylock XIV Limited Partnership F1, F2
transaction RBRK Class B Common Stock Conversion of derivative security $0 +17.9M $0.00 17.9M Apr 29, 2024 Class A Common Stock 17.9M By Greylock XIV Limited Partnership F2, F3
transaction RBRK Series B Preferred Stock Conversion of derivative security $0 -644K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 644K By Greylock XIV-A Limited Partnership F1, F4
transaction RBRK Series C Preferred Stock Conversion of derivative security $0 -108K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 108K By Greylock XIV-A Limited Partnership F1, F4
transaction RBRK Series D Preferred Stock Conversion of derivative security $0 -190K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 190K By Greylock XIV-A Limited Partnership F1, F4
transaction RBRK Series E Preferred Stock Conversion of derivative security $0 -53.1K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 53.1K By Greylock XIV-A Limited Partnership F1, F4
transaction RBRK Class B Common Stock Conversion of derivative security $0 +995K $0.00 995K Apr 29, 2024 Class A Common Stock 995K By Greylock XIV-A Limited Partnership F3, F4
transaction RBRK Series B Preferred Stock Conversion of derivative security $0 -644K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 644K By Greylock XIV Principals LLC F1, F5
transaction RBRK Series C Preferred Stock Conversion of derivative security $0 -108K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 108K By Greylock XIV Principals LLC F1, F5
transaction RBRK Series D Preferred Stock Conversion of derivative security $0 -190K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 190K By Greylock XIV Principals LLC F1, F5
transaction RBRK Series E Preferred Stock Conversion of derivative security $0 -53.1K -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 53.1K By Greylock XIV Principals LLC F1, F5
transaction RBRK Class B Common Stock Conversion of derivative security $0 +995K $0.00 995K Apr 29, 2024 Class A Common Stock 995K By Greylock XIV Principals LLC F3, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E 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 Greylock XIV Limited Partnership, or Greylock XIV LP. Greylock XIV GP LLC, or Greylock XIV GP, is the general partner of Greylock XIV LP. Greylock XIV GP may be deemed to share voting and dispositive power with regard to the shares held directly by Greylock XIV LP and may be deemed to have indirect beneficial ownership of an indeterminate number of such shares. The Reporting Person is one of the managing members of Greylock XIV GP, and may be deemed to share voting and investment power over the shares held by Greylock XIV LP. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any.
F3 Each share of Class B Common Stock 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 holder into one share of Class A Common Stock.
F4 The shares are held of record by Greylock XIV-A Limited Partnership, or Greylock XIV-A LP. Greylock XIV GP is the general partner of Greylock XIV-A LP. Greylock XIV GP may be deemed to share voting and dispositive power with regard to the shares held directly by Greylock XIV-A LP and may be deemed to have indirect beneficial ownership of an indeterminate number of such shares. The Reporting Person is one of the managing members of Greylock XIV GP, and may be deemed to share voting and investment power over the shares held by Greylock XIV-A LP. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any.
F5 The shares are held of record by Greylock XIV Principals LLC, or Greylock XIV Principals. Greylock XIV GP is the manager of Greylock XIV Principals. Greylock XIV GP may be deemed to share voting and dispositive power with regard to the shares held directly by Greylock XIV Principals and may be deemed to have indirect beneficial ownership of an indeterminate number of such shares. The Reporting Person is one of the managing members of Greylock XIV GP, and may be deemed to share voting and investment power over the shares held by Greylock XIV Principals. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any.