4//SEC Filing
THOMPSON JOHN WENDELL 4
Accession 0001207433-25-000013
CIK 0001943896other
Filed
Dec 17, 7:00 PM ET
Accepted
Dec 18, 8:00 PM ET
Size
12.8 KB
Accession
0001207433-25-000013
Insider Transaction Report
Form 4
Rubrik, Inc.RBRK
THOMPSON JOHN WENDELL
Director
Transactions
- Exercise/Conversion
Restricted Stock Units
2025-12-16−16,668→ 0 totalExp: 2029-11-28→ Class B Common Stock (16,668 underlying) - Exercise/Conversion
Restricted Stock Units
2025-12-16−8,334→ 0 totalExp: 2029-11-28→ Class B Common Stock (8,334 underlying) - Exercise/Conversion
Class B Common Stock
2025-12-16+25,002→ 50,001 total→ Class A Common Stock (25,002 underlying)
Holdings
- 845,338(indirect: By Trust)
Class B Common Stock
→ Class A Common Stock (845,338 underlying)
Footnotes (5)
- [F1]Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.
- [F2]The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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).
- [F3]The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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's continued service as Lead Independent Director of the Issuer's board of directors.
- [F4]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.
- [F5]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.
Documents
Issuer
Rubrik, Inc.
CIK 0001943896
Entity typeother
Related Parties
1- filerCIK 0001207433
Filing Metadata
- Form type
- 4
- Filed
- Dec 17, 7:00 PM ET
- Accepted
- Dec 18, 8:00 PM ET
- Size
- 12.8 KB