Kiran Kumar Choudary - 16 Sep 2025 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Role
Chief Financial Officer
Signature
/s/ Larry Guo, Attorney-in-Fact
Issuer symbol
RBRK
Transactions as of
16 Sep 2025
Net transactions value
-$751,582
Form type
4
Filing time
18 Sep 2025, 17:00:08 UTC
Previous filing
04 Sep 2025
Next filing
02 Oct 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Choudary Kiran Kumar Chief Financial Officer C/O RUBRIK INC., 3495 DEER CREEK ROAD, PALO ALTO /s/ Larry Guo, Attorney-in-Fact 18 Sep 2025 0002020220

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 +7,188 +1.4% $0.000000 522,783 16 Sep 2025 Direct
transaction RBRK Class A Common Stock Sale $489,712 -6,599 -1.3% $74.21 516,184 16 Sep 2025 Direct F1
transaction RBRK Class A Common Stock Conversion of derivative security $0 +2,000 +0.39% $0.000000 518,184 17 Sep 2025 Direct
transaction RBRK Class A Common Stock Sale $261,870 -3,500 -0.68% $74.82 514,684 17 Sep 2025 Direct F2

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 Restricted Stock Units Options Exercise $0 -7,188 -33% $0.000000 14,375 16 Sep 2025 Class B Common Stock 7,188 Direct F3, F4
transaction RBRK Class B Common Stock Options Exercise $0 +7,188 $0.000000 7,188 16 Sep 2025 Class A Common Stock 7,188 Direct F5
transaction RBRK Class B Common Stock Conversion of derivative security $0 -7,188 -100% $0.000000 0 16 Sep 2025 Class A Common Stock 7,188 Direct F5
transaction RBRK Stock Option (Right to Buy) Options Exercise $0 -2,000 -3.2% $0.000000 60,450 17 Sep 2025 Class B Common Stock 2,000 $7.99 Direct F6
transaction RBRK Class B Common Stock Options Exercise $0 +2,000 $0.000000 2,000 17 Sep 2025 Class A Common Stock 2,000 Direct F5
transaction RBRK Class B Common Stock Conversion of derivative security $0 -2,000 -100% $0.000000 0 17 Sep 2025 Class A Common Stock 2,000 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 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).
F2 This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted January 15, 2025.
F3 Each RSU represents a contingent right to receive one share of Class B Common Stock.
F4 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).
F5 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.
F6 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter.