| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RBRK | Class A Common Stock | Conversion of derivative security | $0 | +102K | +22.98% | $0.00 | 545K | Sep 26, 2024 | Direct | F1 |
| transaction | RBRK | Class A Common Stock | Sale | -$1.63M | -51.9K | -9.52% | $31.41 | 493K | Sep 26, 2024 | Direct | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RBRK | Restricted Stock Units | Options Exercise | $0 | -87.5K | -100% | $0.00 | 0 | Sep 26, 2024 | Class B Common Stock | 87.5K | Direct | F3, F4 | |
| transaction | RBRK | Restricted Stock Units | Options Exercise | $0 | -14.4K | -25% | $0.00 | 43.1K | Sep 26, 2024 | Class B Common Stock | 14.4K | Direct | F3, F5 | |
| transaction | RBRK | Class B Common Stock | Options Exercise | +102K | 102K | Sep 26, 2024 | Class A Common Stock | 102K | Direct | F6 | ||||
| transaction | RBRK | Class B Common Stock | Conversion of derivative security | -102K | -100% | 0 | Sep 26, 2024 | Class A Common Stock | 102K | Direct | F6 |
| Id | Content |
|---|---|
| F1 | Includes 367 additional shares of Class A Common Stock acquired under the Rubrik, Inc. 2024 Employee Stock Purchase Plan on September 20, 2024. This transaction is exempt from Rule 16b-3(c). Also includes shares of Class A Common Stock that were converted from Class B Common Stock in connection with the Issuer's initial public offering but inadvertently reported as Class B Common Stock in prior reports. |
| F2 | This sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain Restricted Stock Units (RSUs). |
| F3 | Each RSU represents a contingent right to receive one share of Class B Common Stock. |
| F4 | The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/16 of the shares subject to the RSU vested on December 15, 2020, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan). |
| F5 | The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan). |
| F6 | 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. |