Form 4 for RBRK Rubrik, Inc.
Accepted 2024-11-08 00:00:00 ET · period of report 2024-10-22 · accession 0001415889-24-026426 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-11-08 | 2024-10-22+ | RBRK | Choudary Kiran Kumar | CFO | C - Cnv Deriv | $0.00 | +2,000 | 408.0K | +0.5% | $0 |
| DM | 2024-11-08 | 2024-10-22+ | RBRK | Choudary Kiran Kumar | CFO | S - Sale | $39.11 | -13.6K | 406.2K | -3% | -$531.9K |
| DM | 2024-11-08 | 2024-10-22+ | RBRK | Choudary Kiran Kumar | CFO | C - Cnv Deriv | — | -2,000 | 0 | -100% | — |
| DM | 2024-11-08 | 2024-10-22+ | RBRK | Choudary Kiran Kumar | CFO | M - OptEx | $0.00 | 0 | 1,000 | New | $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 | 2024-10-22 | C | A | 1,000 | $0.00 | 418,760 | D | — | — | (F1) 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. |
| 2 | Common | Class A Common Stock | 2024-10-22 | S | D | 11,800 | $38.49 | 406,960 | D | — | — | (F3) 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. (F1) 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. |
| 3 | Common | Class A Common Stock | 2024-11-06 | C | A | 1,000 | $0.00 | 407,960 | D | — | — | |
| 4 | Common | Class A Common Stock | 2024-11-06 | S | D | 1,800 | $43.15 | 406,160 | D | — | — | (F4) 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. |
| 5 | Derivative | Class B Common Stock | 2024-11-06 | C | D | 1,000 | — | 1,000 | D | — · — to — | 1,000 Class A Common Stock | (F7) 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. |
| 6 | Derivative | Class B Common Stock | 2024-11-06 | M | A | 1,000 | — | 1,000 | D | — · — to — | 1,000 Class A Common Stock | (F7) 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. |
| 7 | Derivative | Stock Option (Right to Buy) | 2024-11-06 | M | D | 1,000 | $0.00 | 94,450 | D | $7.99 · — to 2028-09-17 | 1,000 Class B Common Stock | (F5) 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter. |
| 8 | Derivative | Class B Common Stock | 2024-10-22 | C | D | 1,000 | — | 0 | D | — · — to — | 1,000 Class A Common Stock | (F7) 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. |
| 9 | Derivative | Stock Option (Right to Buy) | 2024-10-22 | M | D | 1,000 | $0.00 | 95,450 | D | $7.99 · — to 2028-09-17 | 1,000 Class B Common Stock | (F6) 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. (F5) 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter. |
| 10 | Derivative | Class B Common Stock | 2024-10-22 | M | A | 1,000 | — | 1,000 | D | — · — to — | 1,000 Class A Common Stock | (F7) 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. |