Ravi Mhatre - 11 Sep 2024 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Role
Director, 10%+ Owner
Signature
/s/ Ravi Mhatre
Issuer symbol
RBRK
Transactions as of
11 Sep 2024
Net transactions value
$0
Form type
4
Filing time
12 Sep 2024, 20:24:14 UTC
Previous filing
01 May 2024
Next filing
17 Sep 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RBRK Class A Common Stock Conversion of derivative security $0 +4,440,000 $0.000000 4,440,000 11 Sep 2024 By Lightspeed Venture Partners IX, L.P. F1
transaction RBRK Class A Common Stock Conversion of derivative security $0 +1,030,000 $0.000000 1,030,000 11 Sep 2024 By Lightspeed Venture Partners Select II, L.P. F2
transaction RBRK Class A Common Stock Conversion of derivative security $0 +2,000,000 $0.000000 2,000,000 11 Sep 2024 By Lightspeed SPV I, LLC F3
transaction RBRK Class A Common Stock Other $0 -4,440,000 -100% $0.000000 0 11 Sep 2024 By Lightspeed Venture Partners IX, L.P. F1, F4
transaction RBRK Class A Common Stock Other $0 -1,030,000 -100% $0.000000 0 11 Sep 2024 By Lightspeed Venture Partners Select II, L.P. F2, F5
transaction RBRK Class A Common Stock Other $0 -2,000,000 -100% $0.000000 0 11 Sep 2024 By Lightspeed SPV I, LLC F3, F6
transaction RBRK Class A Common Stock Other $0 +1,105,283 $0.000000 1,105,283 11 Sep 2024 By Lightspeed General Partner IX, L.P. F7, F8
transaction RBRK Class A Common Stock Other $0 -1,105,283 -100% $0.000000 0 11 Sep 2024 By Lightspeed General Partner IX, L.P. F8, F9
transaction RBRK Class A Common Stock Other $0 +180,314 $0.000000 180,314 11 Sep 2024 By Lightspeed General Partner Select II, L.P. F10, F11
transaction RBRK Class A Common Stock Other $0 -180,314 -100% $0.000000 0 11 Sep 2024 By Lightspeed General Partner Select II, L.P. F11, F12
transaction RBRK Class A Common Stock Other $0 +15,933 $0.000000 15,933 11 Sep 2024 By Lightspeed Management Company, L.L.C. F13, F14, F15
transaction RBRK Class A Common Stock Other $0 +140,021 $0.000000 140,021 11 Sep 2024 By Mhatre Investments LP - Fund 2 F13, F16
transaction RBRK Class A Common Stock Other $0 +22,288 $0.000000 22,288 11 Sep 2024 By Mhatre Investments LP - Fund 3 F14, F17

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 Class B Common Stock Conversion of derivative security $0 -4,440,000 -25% $0.000000 13,319,816 11 Sep 2024 Class A Common Stock 4,440,000 By Lightspeed Venture Partners IX, L.P. F1, F18
transaction RBRK Class B Common Stock Conversion of derivative security $0 -1,030,000 -25% $0.000000 3,093,410 11 Sep 2024 Class A Common Stock 1,030,000 By Lightspeed Venture Partners Select II, L.P. F2, F18
transaction RBRK Class B Common Stock Conversion of derivative security $0 -2,000,000 -25% $0.000000 6,015,457 11 Sep 2024 Class A Common Stock 2,000,000 By Lightspeed SPV I, LLC F3, F18
holding RBRK Class B Common Stock 5,094,719 11 Sep 2024 Class A Common Stock 5,094,719 By Lightspeed SPV I-B, LLC F18, F19
holding RBRK Class B Common Stock 3,566,303 11 Sep 2024 Class A Common Stock 3,566,303 By Lightspeed SPV I-C, LLC F18, F20
holding RBRK Class B Common Stock 406,637 11 Sep 2024 Class A Common Stock 406,637 By Lightspeed Venture Partners X, L.P. F18, F21
holding RBRK Class B Common Stock 18,084 11 Sep 2024 Class A Common Stock 18,084 By Lightspeed Affiliates X, L.P F18, F22
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 Represents an in-kind distribution by Lightspeed IX without consideration to its partners (including LGP IX).
F5 Represents an in-kind distribution by Lightspeed Select II without consideration to its partners (including LGP Select II).
F6 Represents an in-kind distribution by Lightspeed SPV I without consideration to its members.
F7 Represents receipt of shares in the distribution in kind described in footnote (4).
F8 Shares are held by LGP IX. 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 LUGP IX. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F9 Represents an in-kind distribution by LGP IX without consideration to its partners.
F10 Represents receipt of shares in the distribution in kind described in footnote (5).
F11 Shares are held by LGP Select II. 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 LUGP Select II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F12 Represents an in-kind distribution by LGP Select II without consideration to its partners.
F13 Represents receipt of shares in the distribution in kind described in footnote (9).
F14 Represents receipt of shares in the distribution in kind described in footnote (12).
F15 Shares are held by Lightspeed Management Company, L.L.C. ("LMC"). The Reporting Person is a managing member of LMC and shares voting and dispositive power with respect to the shares held by LMC. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F16 The Reporting Person serves as trustee of the general partner of Mhatre Investments LP - Fund 2.
F17 The Reporting Person serves as trustee of the general partner of Mhatre Investments LP - Fund 3.
F18 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.
F19 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.
F20 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.
F21 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.
F22 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.