Form 4 for RBRK Rubrik, Inc.
Accepted 2024-09-12 00:00:00 ET · period of report 2024-09-11 · accession 0001415889-24-023332 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-09-12 | 2024-09-11 | RBRK | LS SPV Management, LLC | 10% | C - Cnv Deriv | $0.00 | +4.44M | 4.44M | New | $0 |
| DMI | 2024-09-12 | 2024-09-11 | RBRK | LS SPV Management, LLC | 10% | C - Cnv Deriv | $0.00 | +3.03M | 2.00M | New | $0 |
| D | 2024-09-12 | 2024-09-11 | RBRK | LS SPV Management, LLC | 10% | J - Other | $0.00 | -4.44M | 0 | -100% | $0 |
| DMI | 2024-09-12 | 2024-09-11 | RBRK | LS SPV Management, LLC | 10% | J - Other | $0.00 | -2.70M | 1.11M | -71% | $0 |
| DMI | 2024-09-12 | 2024-09-11 | RBRK | LS SPV Management, LLC | 10% | C - Cnv Deriv | $0.00 | -3.03M | 6.02M | -33% | $0 |
| D | 2024-09-12 | 2024-09-11 | RBRK | LS SPV Management, LLC | 10% | C - Cnv Deriv | $0.00 | -4.44M | 13.32M | -25% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2024-09-11 | C | A | 4,440,000 | $0.00 | 4,440,000 | D | — | — | (F1) Shares are held by Lightspeed Venture Partners IX, L.P. ("Lightspeed IX"). Lightspeed General Partner IX, L.P. ("LGP IX") is the general partner of Lightspeed IX. Lightspeed Ultimate General Partner IX, Ltd. ("LUGP IX") is the general partner of LGP IX. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP IX and share voting and dispositive power with respect to the shares held by Lightspeed IX. Each of LGP IX, LUGP IX and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 2 | Common | Class A Common Stock | 2024-09-11 | C | A | 1,030,000 | $0.00 | 1,030,000 | I By Lightspeed Venture Partners Select II, L.P. | — | — | (F2) Shares are held by Lightspeed Venture Partners Select II, L.P. ("Lightspeed Select II"). Lightspeed General Partner Select II, L.P. ("LGP Select II") is the general partner of Lightspeed Select II. Lightspeed Ultimate General Partner Select II, Ltd. ("LUGP Select II") is the general partner of LGP Select II. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP Select II and share voting and dispositive power with respect to the shares held by Lightspeed Select II. Each of LGP Select II, LUGP Select II and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 3 | Common | Class A Common Stock | 2024-09-11 | C | A | 2,000,000 | $0.00 | 2,000,000 | I By Lightspeed SPV I, LLC | — | — | (F3) Shares are held by Lightspeed SPV I, LLC ("Lightspeed SPV I"). LS SPV Management, LLC ("LS SPV") is the manager of Lightspeed SPV I. Barry Eggers, Ravi Mhatre and Peter Nieh are the managing members of LS SPV and share voting and dispositive power with respect to the shares held by Lightspeed SPV I. Each of LS SPV and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 4 | Common | Class A Common Stock | 2024-09-11 | J | D | 4,440,000 | $0.00 | 0 | D | — | — | (F1) Shares are held by Lightspeed Venture Partners IX, L.P. ("Lightspeed IX"). Lightspeed General Partner IX, L.P. ("LGP IX") is the general partner of Lightspeed IX. Lightspeed Ultimate General Partner IX, Ltd. ("LUGP IX") is the general partner of LGP IX. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP IX and share voting and dispositive power with respect to the shares held by Lightspeed IX. Each of LGP IX, LUGP IX and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 5 | Common | Class A Common Stock | 2024-09-11 | J | D | 1,030,000 | $0.00 | 0 | I By Lightspeed Venture Partners Select II, L.P. | — | — | (F2) Shares are held by Lightspeed Venture Partners Select II, L.P. ("Lightspeed Select II"). Lightspeed General Partner Select II, L.P. ("LGP Select II") is the general partner of Lightspeed Select II. Lightspeed Ultimate General Partner Select II, Ltd. ("LUGP Select II") is the general partner of LGP Select II. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP Select II and share voting and dispositive power with respect to the shares held by Lightspeed Select II. Each of LGP Select II, LUGP Select II and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 6 | Common | Class A Common Stock | 2024-09-11 | J | D | 2,000,000 | $0.00 | 0 | I By Lightspeed SPV I, LLC | — | — | (F3) Shares are held by Lightspeed SPV I, LLC ("Lightspeed SPV I"). LS SPV Management, LLC ("LS SPV") is the manager of Lightspeed SPV I. Barry Eggers, Ravi Mhatre and Peter Nieh are the managing members of LS SPV and share voting and dispositive power with respect to the shares held by Lightspeed SPV I. Each of LS SPV and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 7 | Common | Class A Common Stock | 2024-09-11 | J | A | 16,715 | $0.00 | 16,715 | I By Nieh Family Investments LP - Fund 4 | — | — | (F18) Peter Nieh serves as co-trustee of the general partner of Nieh Family Investments LP - Fund 4. |
| 8 | Common | Class A Common Stock | 2024-09-11 | J | D | 1,105,283 | $0.00 | 0 | I By Lightspeed General Partner IX, L.P. | — | — | (F8) Shares are held by LGP IX. LUGP IX is the general partner of LGP IX. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP IX and share voting and dispositive power with respect to the shares held by LGP IX. Each of LUGP IX and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 9 | Common | Class A Common Stock | 2024-09-11 | J | A | 180,314 | $0.00 | 180,314 | I By Lightspeed General Partner Select II, L.P. | — | — | (F11) Shares are held by LGP Select II. LUGP Select II is the general partner of LGP Select II. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP Select II and share voting and dispositive power with respect to the shares held by LGP Select II. Each of LUGP Select II and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 10 | Common | Class A Common Stock | 2024-09-11 | J | D | 180,314 | $0.00 | 0 | I By Lightspeed General Partner Select II, L.P. | — | — | (F11) Shares are held by LGP Select II. LUGP Select II is the general partner of LGP Select II. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP Select II and share voting and dispositive power with respect to the shares held by LGP Select II. Each of LUGP Select II and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 11 | Common | Class A Common Stock | 2024-09-11 | J | A | 15,933 | $0.00 | 15,933 | I By Lightspeed Management Company, L.L.C. | — | — | (F15) Shares are held by Lightspeed Management Company, L.L.C. ("LMC"). Barry Eggers, Ravi Mhatre, and Peter Nieh are the managing members of LMC and share voting and dispositive power with respect to the shares held by LMC. Each of Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 12 | Common | Class A Common Stock | 2024-09-11 | J | A | 156,736 | $0.00 | 156,736 | I By Eggers Investments LP - Fund 2 | — | — | (F16) Barry Eggers serves as trustee of the general partner of Eggers Investments LP - Fund 2. |
| 13 | Common | Class A Common Stock | 2024-09-11 | J | A | 140,021 | $0.00 | 140,021 | I By Nieh Family Investments LP - Fund 2 | — | — | (F17) Peter Nieh serves as co-trustee of the general partner of Nieh Family Investments LP - Fund 2. |
| 14 | Common | Class A Common Stock | 2024-09-11 | J | A | 1,105,283 | $0.00 | 1,105,283 | I By Lightspeed General Partner IX, L.P. | — | — | (F8) Shares are held by LGP IX. LUGP IX is the general partner of LGP IX. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP IX and share voting and dispositive power with respect to the shares held by LGP IX. Each of LUGP IX and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. |
| 15 | Derivative | Class B Common Stock | 2024-09-11 | C | D | 1,030,000 | $0.00 | 3,093,410 | I By Lightspeed Venture Partners Select II, L.P. | — · — to — | 1,030,000 Class A Common Stock | (F2) Shares are held by Lightspeed Venture Partners Select II, L.P. ("Lightspeed Select II"). Lightspeed General Partner Select II, L.P. ("LGP Select II") is the general partner of Lightspeed Select II. Lightspeed Ultimate General Partner Select II, Ltd. ("LUGP Select II") is the general partner of LGP Select II. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP Select II and share voting and dispositive power with respect to the shares held by Lightspeed Select II. Each of LGP Select II, LUGP Select II and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. (F19) Each share of Class B Common Stock 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 holder into one share of Class A Common Stock. |
| 16 | Derivative | Class B Common Stock | 2024-09-11 | C | D | 4,440,000 | $0.00 | 13,319,816 | D | — · — to — | 4,440,000 Class A Common Stock | (F1) Shares are held by Lightspeed Venture Partners IX, L.P. ("Lightspeed IX"). Lightspeed General Partner IX, L.P. ("LGP IX") is the general partner of Lightspeed IX. Lightspeed Ultimate General Partner IX, Ltd. ("LUGP IX") is the general partner of LGP IX. Barry Eggers, Ravi Mhatre and Peter Nieh are the directors of LUGP IX and share voting and dispositive power with respect to the shares held by Lightspeed IX. Each of LGP IX, LUGP IX and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. (F19) Each share of Class B Common Stock 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 holder into one share of Class A Common Stock. |
| 17 | Derivative | Class B Common Stock | 2024-09-11 | C | D | 2,000,000 | $0.00 | 6,015,457 | I By Lightspeed SPV I, LLC | — · — to — | 2,000,000 Class A Common Stock | (F3) Shares are held by Lightspeed SPV I, LLC ("Lightspeed SPV I"). LS SPV Management, LLC ("LS SPV") is the manager of Lightspeed SPV I. Barry Eggers, Ravi Mhatre and Peter Nieh are the managing members of LS SPV and share voting and dispositive power with respect to the shares held by Lightspeed SPV I. Each of LS SPV and Messrs. Eggers and Nieh disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. Mr. Mhatre is a director of the Issuer and files separate Section 16 reports. (F19) Each share of Class B Common Stock 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 holder into one share of Class A Common Stock. |