0001415889-24-029929.txt : 20241219 0001415889-24-029929.hdr.sgml : 20241219 20241219200015 ACCESSION NUMBER: 0001415889-24-029929 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241217 FILED AS OF DATE: 20241219 DATE AS OF CHANGE: 20241219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCarthy Brian K. CENTRAL INDEX KEY: 0002020217 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-42028 FILM NUMBER: 241564735 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 form4-12192024_081212.xml X0508 4 2024-12-17 0001943896 Rubrik, Inc. RBRK 0002020217 McCarthy Brian K. C/O RUBRIK INC. 3495 DEER CREEK ROAD PALO ALTO CA 94304 false true false false Chief Revenue Officer 0 Class A Common Stock 2024-12-17 4 C 0 62500 0 A 375045 D Class A Common Stock 2024-12-17 4 S 0 28485 72.3391 D 346560 D Restricted Stock Units 2024-12-17 4 M 0 56250 0 D 2028-03-30 Class B Common Stock 56250 56250 D Restricted Stock Units 2024-12-17 4 M 0 6250 0 D 2029-04-13 Class B Common Stock 6250 31250 D Class B Common Stock 2024-12-17 4 M 0 62500 A Class A Common Stock 62500 62500 D Class B Common Stock 2024-12-17 4 C 0 62500 D Class A Common Stock 62500 0 D 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). Each RSU represents a contingent right to receive one share of Class B Common Stock. The RSUs shall vest as follows: 1/4 of the shares subject to the RSU vested on March 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter 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). The RSUs shall vest as follows: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter 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/ Larry Guo, Attorney-in-Fact 2024-12-19