Arvind Nithrakashyap - Jan 6, 2025 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Signature
/s/ Anne-Kathrin Lalendran, Attorney-in-Fact
Stock symbol
RBRK
Transactions as of
Jan 6, 2025
Transactions value $
-$6,387,687
Form type
4
Date filed
1/8/2025, 08:12 PM
Previous filing
May 1, 2024
Next filing
Jan 16, 2025

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 +32.5K $0.00 32.5K Jan 6, 2025 Direct
transaction RBRK Class A Common Stock Sale -$380K -5.71K -17.58% $66.55 26.8K Jan 6, 2025 Direct F1, F2
transaction RBRK Class A Common Stock Sale -$1.15M -17.1K -63.66% $67.51 9.73K Jan 6, 2025 Direct F1, F3
transaction RBRK Class A Common Stock Sale -$567K -8.29K -85.18% $68.34 1.44K Jan 6, 2025 Direct F1, F4
transaction RBRK Class A Common Stock Sale -$65.7K -942 -65.33% $69.79 500 Jan 6, 2025 Direct F1, F5
transaction RBRK Class A Common Stock Sale -$35K -500 -100% $70.06 0 Jan 6, 2025 Direct F1, F6
transaction RBRK Class A Common Stock Conversion of derivative security $0 +32.5K $0.00 32.5K Jan 7, 2025 Direct
transaction RBRK Class A Common Stock Sale -$1.04M -16.1K -49.63% $64.58 16.4K Jan 7, 2025 Direct F1, F7
transaction RBRK Class A Common Stock Sale -$647K -9.86K -60.25% $65.58 6.51K Jan 7, 2025 Direct F1, F8
transaction RBRK Class A Common Stock Sale -$175K -2.62K -40.32% $66.79 3.88K Jan 7, 2025 Direct F1, F9
transaction RBRK Class A Common Stock Sale -$264K -3.88K -100% $68.10 0 Jan 7, 2025 Direct F1, F10
transaction RBRK Class A Common Stock Conversion of derivative security $0 +32.5K $0.00 32.5K Jan 8, 2025 Direct
transaction RBRK Class A Common Stock Sale -$1.16M -18.3K -56.28% $63.18 14.2K Jan 8, 2025 Direct F1, F11
transaction RBRK Class A Common Stock Sale -$820K -12.9K -90.57% $63.76 1.34K Jan 8, 2025 Direct F1, F12
transaction RBRK Class A Common Stock Sale -$86.5K -1.34K -100% $64.52 0 Jan 8, 2025 Direct F1, F13

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 -32.5K -0.3% $0.00 10.7M Jan 6, 2025 Class A Common Stock 32.5K Direct F14
transaction RBRK Class B Common Stock Conversion of derivative security $0 -32.5K -0.3% $0.00 10.6M Jan 7, 2025 Class A Common Stock 32.5K Direct F14
transaction RBRK Class B Common Stock Conversion of derivative security $0 -32.5K -0.31% $0.00 10.6M Jan 8, 2025 Class A Common Stock 32.5K Direct F14
holding RBRK Class B Common Stock 200K Jan 6, 2025 Class A Common Stock 200K By Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust F14, F15
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted September 21, 2024.
F2 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.965 to $66.95 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.
F3 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.995 to $67.99 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.
F4 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 to $68.895 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.
F5 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.015 to $69.985 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.
F6 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.03 to $70.185 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.
F7 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.115 to $65.10 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.
F8 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.265 to $66.02 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.
F9 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.43 to $67.03 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.
F10 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.72 to $68.715 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.
F11 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.395 to $63.39 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.
F12 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.395 to $64.365 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.
F13 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.405 to $64.665 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.
F14 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.
F15 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.