0001415889-24-026426.txt : 20241108 0001415889-24-026426.hdr.sgml : 20241108 20241108160816 ACCESSION NUMBER: 0001415889-24-026426 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241022 FILED AS OF DATE: 20241108 DATE AS OF CHANGE: 20241108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Choudary Kiran Kumar CENTRAL INDEX KEY: 0002020220 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-42028 FILM NUMBER: 241440587 MAIL ADDRESS: STREET 1: 3495 DEER CREEK ROAD CITY: PALO ALTO STATE: CA ZIP: 94304 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 form4-11082024_091111.xml X0508 4 2024-10-22 0001943896 Rubrik, Inc. RBRK 0002020220 Choudary Kiran Kumar C/O RUBRIK INC. 3495 DEER CREEK ROAD PALO ALTO CA 94304 false true false false Chief Financial Officer 1 Class A Common Stock 2024-10-22 4 C 0 1000 0 A 418760 D Class A Common Stock 2024-10-22 4 S 0 11800 38.49 D 406960 D Class A Common Stock 2024-11-06 4 C 0 1000 0 A 407960 D Class A Common Stock 2024-11-06 4 S 0 1800 43.15 D 406160 D Stock Option (Right to Buy) 7.99 2024-10-22 4 M 0 1000 0 D 2028-09-17 Class B Common Stock 1000 95450 D Class B Common Stock 2024-10-22 4 M 0 1000 A Class A Common Stock 1000 1000 D Class B Common Stock 2024-10-22 4 C 0 1000 D Class A Common Stock 1000 0 D Stock Option (Right to Buy) 7.99 2024-11-06 4 M 0 1000 0 D 2028-09-17 Class B Common Stock 1000 94450 D Class B Common Stock 2024-11-06 4 M 0 1000 A Class A Common Stock 1000 1000 D Class B Common Stock 2024-11-06 4 C 0 1000 D Class A Common Stock 1000 1000 D Due to an administrative error, the previous Forms 4 filed on October 29, 2024, and November 5, 2024, inadvertently overstated the Reporting Person's Class A common stock by 10,800 shares, which were sold on October 22, 2024 and reported on this Form 4. The total number of shares held by the Reporting Person has been updated on this Form 4. This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted July 15, 2024 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.86 to $38.82 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.98 to $43.83 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote. 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter. Due to an administrative error, the previous Form 4 filed on October 29, 2024 inadvertently overstated the Reporting Person's shares subject to outstanding stock options by 1,000 shares, which were exercised on October 22, 2024 and reported on this Form 4. The total number of shares subject to outstanding stock options held by the Reporting Person has been updated on this Form 4. 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/ Larry Guo, Attorney-in-Fact 2024-11-08