Form 4 for RBRK Rubrik, Inc.
Accepted 2024-12-19 00:00:00 ET · period of report 2024-12-17 · accession 0001415889-24-029929 · 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 | 2024-12-19 | 2024-12-17 | RBRK | McCarthy Brian K. | Chief Revenue Off | C - Cnv Deriv | $0.00 | +62.5K | 375.0K | +20% | $0 |
| D | 2024-12-19 | 2024-12-17 | RBRK | McCarthy Brian K. | Chief Revenue Off | S - Sale | $72.34 | -28.5K | 346.6K | -8% | -$2.06M |
| DM | 2024-12-19 | 2024-12-17 | RBRK | McCarthy Brian K. | Chief Revenue Off | M - OptEx | $0.00 | 0 | 31.2K | New | $0 |
| D | 2024-12-19 | 2024-12-17 | RBRK | McCarthy Brian K. | Chief Revenue Off | C - Cnv Deriv | — | -62.5K | 0 | -100% | — |
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 | 2024-12-17 | C | A | 62,500 | $0.00 | 375,045 | D | — | — | |
| 2 | Common | Class A Common Stock | 2024-12-17 | S | D | 28,485 | $72.34 | 346,560 | D | — | — | (F1) 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). |
| 3 | Derivative | Class B Common Stock | 2024-12-17 | M | A | 62,500 | — | 62,500 | D | — · — to — | 62,500 Class A Common Stock | (F5) 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. |
| 4 | Derivative | Class B Common Stock | 2024-12-17 | C | D | 62,500 | — | 0 | D | — · — to — | 62,500 Class A Common Stock | (F5) 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. |
| 5 | Derivative | Restricted Stock Units | 2024-12-17 | M | D | 56,250 | $0.00 | 56,250 | D | — · — to 2028-03-30 | 56,250 Class B Common Stock | (F2) Each RSU represents a contingent right to receive one share of Class B Common Stock. (F3) 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). |
| 6 | Derivative | Restricted Stock Units | 2024-12-17 | M | D | 6,250 | $0.00 | 31,250 | D | — · — to 2029-04-13 | 6,250 Class B Common Stock | (F2) Each RSU represents a contingent right to receive one share of Class B Common Stock. (F4) 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). |