John Wendell Thompson - Jan 14, 2025 Form 4 Insider Report for Rubrik, Inc. (RBRK)

Role
Director
Signature
/s/ Anne-Katherin Lalendran, Attorney-in-Fact
Stock symbol
RBRK
Transactions as of
Jan 14, 2025
Transactions value $
-$582,849
Form type
4
Date filed
1/16/2025, 08:10 PM
Previous filing
Dec 19, 2024
Next filing
Feb 5, 2025
SEC
View on sec.gov

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 +9.01K $0.00 9.01K Jan 14, 2025 By John and Sandra Thompson Trust F1
transaction RBRK Class A Common Stock Sale -$340K -5.28K -58.63% $64.46 3.73K Jan 14, 2025 By John and Sandra Thompson Trust F1, F2, F3
transaction RBRK Class A Common Stock Sale -$236K -3.63K -97.32% $65.01 100 Jan 14, 2025 By John and Sandra Thompson Trust F1, F2, F4
transaction RBRK Class A Common Stock Sale -$6.58K -100 -100% $65.80 0 Jan 14, 2025 By John and Sandra Thompson Trust F1, F2
transaction RBRK Class A Common Stock Award $0 +998 $0.00 998 Jan 15, 2025 Direct F5

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 -9.01K -0.94% 944K Jan 14, 2025 Class A Common Stock 9.01K By John and Sandra Thompson Trust F1, F6
holding RBRK Class B Common Stock 25K Jan 14, 2025 Class A Common Stock 25K Direct F6
* 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 The shares are held of record by John and Sandra Thompson Trust, for which the Reporting Person serves as a co-trustee and shares voting and dispositive power with his spouse.
F2 This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.
F3 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.79 to $64.77 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 $64.79 to $65.58 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 Represents the grant of restricted stock units that are fully vested as of the date of grant.
F6 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.