0001415889-24-011895.txt : 20240501 0001415889-24-011895.hdr.sgml : 20240501 20240501180543 ACCESSION NUMBER: 0001415889-24-011895 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240429 FILED AS OF DATE: 20240501 DATE AS OF CHANGE: 20240501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMPSON JOHN WENDELL CENTRAL INDEX KEY: 0001207433 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-42028 FILM NUMBER: 24904425 MAIL ADDRESS: STREET 1: C/O MICROSOFT CORPORATION STREET 2: ONE MICROSOFT WAY CITY: REDMOND STATE: WA ZIP: 98053 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Rubrik, Inc. CENTRAL INDEX KEY: 0001943896 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology IRS NUMBER: 464560494 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 3495 DEER CREEK ROAD CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 8444782745 MAIL ADDRESS: STREET 1: 3495 DEER CREEK ROAD CITY: PALO ALTO STATE: CA ZIP: 94304 4 1 form4-05012024_100534.xml X0508 4 2024-04-29 0001943896 Rubrik, Inc. RBRK 0001207433 THOMPSON JOHN WENDELL C/O RUBRIK INC. 3495 DEER CREEK ROAD PALO ALTO CA 94304 true false false false 0 Series A Preferred Stock 2024-04-29 4 C 0 371912 0 D Class B Common Stock 371912 0 I By John and Sandra Thompson Trust Series B Preferred Stock 2024-04-29 4 C 0 408580 0 D Class B Common Stock 408580 0 I By John and Sandra Thompson Trust Series C Preferred Stock 2024-04-29 4 C 0 72955 0 D Class B Common Stock 72955 0 I By John and Sandra Thompson Trust Class B Common Stock 2024-04-29 4 C 0 853447 0 A Class A Common Stock 853447 853447 I By John and Sandra Thompson Trust Class B Common Stock Class A Common Stock 99999 99999 D The Series A Preferred Stock, Series B Preferred Stock and Series C 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. 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. 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. /s/ Anne-Kathrin Lalendran, Attorney-in-Fact 2024-05-01