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Rubrik, Inc. — Director's Dealing 2025
Jan 9, 2025
30369_dirs_2025-01-08_f279181c-5c7b-4528-aa40-4faac00d1dfa.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: 2025-01-07
Reporting Person: McCarthy Brian K. (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2025-01-07 | Class A Common Stock | C | 150000 | — | Acquired | 471560 | Direct |
| 2025-01-07 | Class A Common Stock | S | 65517 | $66.0569 | Disposed | 406043 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2025-01-07 | Restricted Stock Units | $ | M | 150000 | Disposed | 2028-03-30 | Class B Common Stock (150000) | Direct |
| 2025-01-07 | Class B Common Stock | $ | M | 150000 | Acquired | Class A Common Stock (150000) | Direct | |
| 2025-01-07 | Class B Common Stock | $ | C | 150000 | Disposed | Class A Common Stock (150000) | 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: all of the shares subject to the RSU will vest upon the Issuer's achievement of a specified average price per share prior to the expiration of the RSU award, subject to the Reporting Person subject to the Reporting Person continuing to have a Service Relationship (as defined in the Amended and Restated Issuer's Amended and Restated 2014 Stock Option and Grant Plan).
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.