Lightspeed Venture Partners IX, L.P. - Sep 11, 2024 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Role
10%+ Owner
Signature
Lightspeed Venture Partners IX, L.P., By: Lightspeed General Partner IX, L.P., its General Partner, By: Lightspeed Ultimate General Partner IX, Ltd., its General Partner, By /s/ Ravi Mhatre, Director
Stock symbol
RBRK
Transactions as of
Sep 11, 2024
Transactions value $
$0
Form type
4
Date filed
9/12/2024, 08:22 PM
Previous filing
May 1, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RBRK Class A Common Stock Conversion of derivative security $0 +4.44M $0.00 4.44M Sep 11, 2024 Direct F1
transaction RBRK Class A Common Stock Conversion of derivative security $0 +1.03M $0.00 1.03M Sep 11, 2024 By Lightspeed Venture Partners Select II, L.P. F2
transaction RBRK Class A Common Stock Conversion of derivative security $0 +2M $0.00 2M Sep 11, 2024 By Lightspeed SPV I, LLC F3
transaction RBRK Class A Common Stock Other $0 -4.44M -100% $0.00 0 Sep 11, 2024 Direct F1, F4
transaction RBRK Class A Common Stock Other $0 -1.03M -100% $0.00 0 Sep 11, 2024 By Lightspeed Venture Partners Select II, L.P. F2, F5
transaction RBRK Class A Common Stock Other $0 -2M -100% $0.00 0 Sep 11, 2024 By Lightspeed SPV I, LLC F3, F6
transaction RBRK Class A Common Stock Other $0 +1.11M $0.00 1.11M Sep 11, 2024 By Lightspeed General Partner IX, L.P. F7, F8
transaction RBRK Class A Common Stock Other $0 -1.11M -100% $0.00 0 Sep 11, 2024 By Lightspeed General Partner IX, L.P. F8, F9
transaction RBRK Class A Common Stock Other $0 +180K $0.00 180K Sep 11, 2024 By Lightspeed General Partner Select II, L.P. F10, F11
transaction RBRK Class A Common Stock Other $0 -180K -100% $0.00 0 Sep 11, 2024 By Lightspeed General Partner Select II, L.P. F11, F12
transaction RBRK Class A Common Stock Other $0 +15.9K $0.00 15.9K Sep 11, 2024 By Lightspeed Management Company, L.L.C. F13, F14, F15
transaction RBRK Class A Common Stock Other $0 +157K $0.00 157K Sep 11, 2024 By Eggers Investments LP - Fund 2 F13, F14, F16
transaction RBRK Class A Common Stock Other $0 +140K $0.00 140K Sep 11, 2024 By Nieh Family Investments LP - Fund 2 F13, F17
transaction RBRK Class A Common Stock Other $0 +16.7K $0.00 16.7K Sep 11, 2024 By Nieh Family Investments LP - Fund 4 F14, F18

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 Class B Common Stock Conversion of derivative security $0 -4.44M -25% $0.00 13.3M Sep 11, 2024 Class A Common Stock 4.44M Direct F1, F19
transaction RBRK Class B Common Stock Conversion of derivative security $0 -1.03M -24.98% $0.00 3.09M Sep 11, 2024 Class A Common Stock 1.03M By Lightspeed Venture Partners Select II, L.P. F2, F19
transaction RBRK Class B Common Stock Conversion of derivative security $0 -2M -24.95% $0.00 6.02M Sep 11, 2024 Class A Common Stock 2M By Lightspeed SPV I, LLC F3, F19
holding RBRK Class B Common Stock 5.09M Sep 11, 2024 Class A Common Stock 5.09M By Lightspeed SPV I-B, LLC F19, F20
holding RBRK Class B Common Stock 3.57M Sep 11, 2024 Class A Common Stock 3.57M By Lightspeed SPV I-C, LLC F19, F21
holding RBRK Class B Common Stock 407K Sep 11, 2024 Class A Common Stock 407K By Lightspeed Venture Partners X, L.P. F19, F22
holding RBRK Class B Common Stock 18.1K Sep 11, 2024 Class A Common Stock 18.1K By Lightspeed Affiliates X, L.P F19, F23
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
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.
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.
F4 Represents an in-kind distribution by Lightspeed IX without consideration to its partners (including LGP IX).
F5 Represents an in-kind distribution by Lightspeed Select II without consideration to its partners (including LGP Select II).
F6 Represents an in-kind distribution by Lightspeed SPV I without consideration to its members.
F7 Represents receipt of shares in the distribution in kind described in footnote (4).
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.
F9 Represents an in-kind distribution by LGP IX without consideration to its partners.
F10 Represents receipt of shares in the distribution in kind described in footnote (5).
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.
F12 Represents an in-kind distribution by LGP Select II without consideration to its partners.
F13 Represents receipt of shares in the distribution in kind described in footnote (9).
F14 Represents receipt of shares in the distribution in kind described in footnote (12).
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.
F16 Barry Eggers serves as trustee of the general partner of Eggers Investments LP - Fund 2.
F17 Peter Nieh serves as co-trustee of the general partner of Nieh Family Investments LP - Fund 2.
F18 Peter Nieh serves as co-trustee of the general partner of Nieh Family Investments LP - Fund 4.
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.
F20 Shares are held by Lightspeed SPV I-B, LLC ("Lightspeed SPV I-B"). LS SPV is the manager of Lightspeed SPV I-B. 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-B. 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.
F21 Shares are held by Lightspeed SPV I-C, LLC ("Lightspeed SPV I-C"). LS SPV is the manager of Lightspeed SPV I-C. 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-C. 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.
F22 Shares are held by Lightspeed Venture Partners X, L.P. ("Lightspeed X"). Lightspeed General Partner X, L.P. ("LGP X") is the general partner of Lightspeed X. Lightspeed Ultimate General Partner X, Ltd. ("LUGP X") is the general partner of LGP X. Barry Eggers, Ravi Mhatre, and Peter Nieh are the directors of LUGP X and share voting and dispositive power with respect to the shares held by Lightspeed X. Each of LGP X, LUGP X 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.
F23 Shares are held by Lightspeed Affiliates X, L.P. ("Lightspeed Affiliates X"). LGP X, is the general partner of Lightspeed Affiliates X. LUGP X is the general partner of LGP X. Barry Eggers, Ravi Mhatre, and Peter Nieh are the directors of LUGP X and share voting and dispositive power with respect to the shares held by Lightspeed Affiliates X. Each of LGP X, LUGP X 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.