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Rubrik, Inc. — Director's Dealing 2024
Dec 20, 2024
30369_dirs_2024-12-19_f2b326d9-8de4-408f-b49d-4a690b0a16da.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Rubrik, Inc. (RBRK)
CIK: 0001943896
Period of Report: 2024-12-17
Reporting Person: McCarthy Brian K. (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-12-17 | Class A Common Stock | C | 62500 | — | Acquired | 375045 | Direct |
| 2024-12-17 | Class A Common Stock | S | 28485 | $72.3391 | Disposed | 346560 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-12-17 | Restricted Stock Units | $ | M | 56250 | Disposed | 2028-03-30 | Class B Common Stock (56250) | Direct |
| 2024-12-17 | Restricted Stock Units | $ | M | 6250 | Disposed | 2029-04-13 | Class B Common Stock (6250) | Direct |
| 2024-12-17 | Class B Common Stock | $ | M | 62500 | Acquired | Class A Common Stock (62500) | Direct | |
| 2024-12-17 | Class B Common Stock | $ | C | 62500 | Disposed | Class A Common Stock (62500) | Direct |
Footnotes
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: Each RSU represents a contingent right to receive one share of Class B Common Stock.
F3: The RSUs shall vest as follows: 1/4 of the shares subject to the RSU vested on March 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).
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.