0001415889-24-011627.txt : 20240426 0001415889-24-011627.hdr.sgml : 20240426 20240426205839 ACCESSION NUMBER: 0001415889-24-011627 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240424 FILED AS OF DATE: 20240426 DATE AS OF CHANGE: 20240426 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wassenaar Yvonne CENTRAL INDEX KEY: 0001707744 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-42028 FILM NUMBER: 24886194 MAIL ADDRESS: STREET 1: C/O FORRESTER RESEARCH, INC. STREET 2: 60 ACORN PARK DRIVE CITY: CAMBRIDGE STATE: MA ZIP: 02140 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 form4-04272024_120432.xml X0508 4 2024-04-24 0001943896 Rubrik, Inc. RBRK 0001707744 Wassenaar Yvonne C/O RUBRIK INC. 3495 DEER CREEK ROAD PALO ALTO CA 94304 true false false false 0 Restricted Stock Units 2024-04-24 4 A 0 50000 0 A 2028-11-01 Class B Common Stock 50000 50000 D Restricted Stock Units 2024-04-25 4 M 0 33332 0 D 2028-11-01 Class B Common Stock 33332 16668 D Class B Common Stock 2024-04-25 4 M 0 33332 0 A Class A Common Stock 33332 33332 D Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock. The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2022, and 1/3 of the shares subject to the RSU vest every year 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). 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. /s/ Anne-Kathrin Lalendran, Attorney-in-Fact 2024-04-26