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