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Rubrik, Inc. — Director's Dealing 2024
May 2, 2024
30369_dirs_2024-05-01_b9e1f241-4f47-4252-86ba-cc426c310ed3.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: 2024-04-29
Reporting Person: Lightspeed Venture Partners IX, L.P. (N/A)
Reporting Person: Lightspeed General Partner IX, L.P. (10% Owner)
Reporting Person: Lightspeed Ultimate General Partner IX, Ltd. (10% Owner)
Reporting Person: Lightspeed Venture Partners Select II, L.P. (10% Owner)
Reporting Person: Lightspeed General Partner Select II, L.P. (10% Owner)
Reporting Person: Lightspeed Ultimate General Partner Select II, Ltd. (10% Owner)
Reporting Person: Lightspeed Venture Partners X, L.P. (10% Owner)
Reporting Person: Lightspeed Affiliates X, L.P. (10% Owner)
Reporting Person: Lightspeed General Partner X, L.P. (10% Owner)
Reporting Person: Lightspeed Ultimate General Partner X, Ltd. (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-29 | Series A Preferred Stock | $ | C | 14132696 | Disposed | Class B Common Stock (14132696) | Direct | |
| 2024-04-29 | Series B Preferred Stock | $ | C | 3329928 | Disposed | Class B Common Stock (3329928) | Direct | |
| 2024-04-29 | Series E Preferred Stock | $ | C | 297192 | Disposed | Class B Common Stock (297192) | Direct | |
| 2024-04-29 | Class B Common Stock | $ | C | 17759816 | Acquired | Class A Common Stock (17759816) | Direct | |
| 2024-04-29 | Series C Preferred Stock | $ | C | 2940030 | Disposed | Class B Common Stock (2940030) | Indirect | |
| 2024-04-29 | Series D Preferred Stock | $ | C | 843732 | Disposed | Class B Common Stock (843732) | Indirect | |
| 2024-04-29 | Series E Preferred Stock | $ | C | 339648 | Disposed | Class B Common Stock (339648) | Indirect | |
| 2024-04-29 | Class B Common Stock | $ | C | 4123410 | Acquired | Class A Common Stock (4123410) | Indirect | |
| 2024-04-29 | Series D Preferred Stock | $ | C | 8015457 | Disposed | Class B Common Stock (8015457) | Indirect | |
| 2024-04-29 | Class B Common Stock | $ | C | 8015457 | Acquired | Class A Common Stock (8015457) | Indirect | |
| 2024-04-29 | Series E Preferred Stock | $ | C | 5094719 | Disposed | Class B Common Stock (5094719) | Indirect | |
| 2024-04-29 | Class B Common Stock | $ | C | 5094719 | Acquired | Class A Common Stock (5094719) | Indirect | |
| 2024-04-29 | Series E Preferred Stock | $ | C | 3566303 | Disposed | Class B Common Stock (3566303) | Indirect | |
| 2024-04-29 | Class B Common Stock | $ | C | 3566303 | Acquired | Class A Common Stock (3566303) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (406637) | 406637 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (18084) | 18084 | Indirect |
Footnotes
F1: The Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.
F2: 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. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP IX and share voting and dispositive power with respect to the shares held by Lightspeed IX. Each of LGP IX, LUGP IX and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.
F3: 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.
F4: 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. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP Select II and share voting and dispositive power with respect to the shares held by Lightspeed Select II. Each of LGP Select II, LUGP Select II and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.
F5: Shares are held by Lightspeed SPV I, LLC ("Lightspeed SPV I"). LS SPV Management, LLC ("LS SPV") is the manager of Lightspeed SPV I. Barry Eggers, Ravi Mhatre and Peter Nieh are the managing members of LS SPV and share voting and dispositive power with respect to the shares held by Lightspeed SPV I. Each of LS SPV and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.
F6: Shares are held by Lightspeed SPV I-B, LLC ("Lightspeed SPV I-B"). LS SPV is the manager of Lightspeed SPV I-B. Barry Eggers, Ravi Mhatre, and Peter Nieh are the managing members of LS SPV and share voting and dispositive power with respect to the shares held by Lightspeed SPV I-B. Each of LS SPV and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.
F7: Shares are held by Lightspeed SPV I-C, LLC ("Lightspeed SPV I-C"). LS SPV is the manager of Lightspeed SPV I-C. Barry Eggers, Ravi Mhatre, and Peter Nieh are the managing members of LS SPV and share voting and dispositive power with respect to the shares held by Lightspeed SPV I-C. Each of LS SPV and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.
F8: 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. Barry Eggers, Ravi Mhatre, and Peter Nieh are the directors of LUGP X and share voting and dispositive power with respect to the shares held by Lightspeed X. Each of LGP X, LUGP X and Messrs. Eggers Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.
F9: 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. Barry Eggers, Ravi Mhatre, and Peter Nieh are the directors of LUGP X and share voting and dispositive power with respect to the shares held by Lightspeed Affiliates X. Each of LGP X, LUGP X and Messrs. Eggers Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports.