Form 4 for RBRK Rubrik, Inc.
Accepted 2024-12-13 00:00:00 ET · period of report 2024-12-13 · accession 0001415889-24-029360 · 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 | 2024-12-13 | 2024-12-13 | RBRK | Sinha Bipul | COB, CEO, Dir, 10% | C - Cnv Deriv | — | +1.50M | 1.53M | +4,791% | — |
| D | 2024-12-13 | 2024-12-13 | RBRK | Sinha Bipul | COB, CEO, Dir, 10% | G - Gift | $0.00 | -342.0K | 31.3K | -92% | $0 |
| D | 2024-12-13 | 2024-12-13 | RBRK | Sinha Bipul | COB, CEO, Dir, 10% | S - Sale | $70.25 | -1.16M | 373.3K | -76% | -$81.36M |
| D | 2024-12-13 | 2024-12-13 | RBRK | Sinha Bipul | COB, CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -1.50M | 12.00M | -11% | $0 |
| DM | 2024-12-13 | 2024-12-13 | RBRK | Sinha Bipul | COB, CEO, Dir, 10% | M - OptEx | $0.00 | 0 | 13.50M | 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 | 2024-12-13 | C | A | 1,500,082 | — | 1,531,394 | D | — | — | (F1) 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Represents conversions of shares of Class B Common Stock into shares of Class A Common Stock prior to the execution of the block sale and gifts described in the "Remarks" section of this report. |
| 2 | Common | Class A Common Stock | 2024-12-13 | G | D | 342,000 | $0.00 | 31,312 | D | — | — | |
| 3 | Common | Class A Common Stock | 2024-12-13 | S | D | 1,158,082 | $70.25 | 373,312 | D | — | — | (F2) Represents the sale of Block Shares (as defined below) by the Reporting Person as described in the "Remarks" section of this report. |
| 4 | Derivative | Class B Common Stock | 2024-12-13 | C | D | 1,500,082 | $0.00 | 12,000,646 | D | — · — to — | 1,500,082 Class A Common Stock | (F1) 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Represents conversions of shares of Class B Common Stock into shares of Class A Common Stock prior to the execution of the block sale and gifts described in the "Remarks" section of this report. |
| 5 | Derivative | Restricted Stock Units | 2024-12-13 | M | D | 1,158,082 | $0.00 | 0 | D | — · — to 2028-05-02 | 1,158,082 Class B Common Stock | (F3) Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock. (F4) 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: all of the shares subject to the RSU will vest upon the Issuer's achievement of a specified average price per share prior to the expiration of the RSU award, subject to the Reporting Person 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). |
| 6 | Derivative | Class B Common Stock | 2024-12-13 | M | A | 1,158,082 | $0.00 | 13,500,728 | D | — · — to — | 1,158,082 Class A Common Stock | (F1) 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Represents conversions of shares of Class B Common Stock into shares of Class A Common Stock prior to the execution of the block sale and gifts described in the "Remarks" section of this report. |