Arvind Nithrakashyap - Apr 29, 2024 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Signature
/s/ Anne-Kathrin Lalendran, Attorney-in-Fact
Stock symbol
RBRK
Transactions as of
Apr 29, 2024
Transactions value $
$0
Form type
4
Date filed
5/1/2024, 06:00 PM
Previous filing
Apr 24, 2024

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RBRK Founders Preferred Stock Conversion of derivative security $0 -1.8M -100% $0.00* 0 Apr 29, 2024 Class B Common Stock 1.8M Direct F1
transaction RBRK Class B Common Stock Conversion of derivative security $0 +1.8M +20.23% $0.00 10.7M Apr 29, 2024 Class A Common Stock 1.8M Direct F2
holding RBRK Class B Common Stock 200K Apr 29, 2024 Class A Common Stock 200K By Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Founders Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.
F2 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.
F3 The shares are held of record by Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust, for which the Reporting Person serves as trustee and shares voting and dispositive power with his spouse.