0001415889-24-011628.txt : 20240426
0001415889-24-011628.hdr.sgml : 20240426
20240426210047
ACCESSION NUMBER: 0001415889-24-011628
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240424
FILED AS OF DATE: 20240426
DATE AS OF CHANGE: 20240426
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: THOMPSON JOHN WENDELL
CENTRAL INDEX KEY: 0001207433
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-42028
FILM NUMBER: 24886197
MAIL ADDRESS:
STREET 1: C/O MICROSOFT CORPORATION
STREET 2: ONE MICROSOFT WAY
CITY: REDMOND
STATE: WA
ZIP: 98053
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Rubrik, Inc.
CENTRAL INDEX KEY: 0001943896
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
ORGANIZATION NAME: 06 Technology
IRS NUMBER: 464560494
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0131
BUSINESS ADDRESS:
STREET 1: 3495 DEER CREEK ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 8444782745
MAIL ADDRESS:
STREET 1: 3495 DEER CREEK ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94304
4
1
form4-04272024_010440.xml
X0508
4
2024-04-24
0001943896
Rubrik, Inc.
RBRK
0001207433
THOMPSON JOHN WENDELL
C/O RUBRIK INC.
3495 DEER CREEK ROAD
PALO ALTO
CA
94304
true
false
false
false
0
Restricted Stock Units
2024-04-24
4
A
0
75000
0
A
2027-08-13
Class B Common Stock
75000
75000
D
Restricted Stock Units
2024-04-24
4
A
0
50000
0
A
2029-11-28
Class B Common Stock
50000
50000
D
Restricted Stock Units
2024-04-24
4
A
0
25000
0
A
2029-11-28
Class B Common Stock
25000
25000
D
Restricted Stock Units
2024-04-25
4
M
0
75000
0
D
2027-08-13
Class B Common Stock
75000
0
D
Restricted Stock Units
2024-04-25
4
M
0
16666
0
D
2029-11-28
Class B Common Stock
16666
33334
D
Restricted Stock Units
2024-04-25
4
M
0
8333
0
D
2029-11-28
Class B Common Stock
8333
16667
D
Class B Common Stock
2024-04-25
4
M
0
99999
A
Class A Common Stock
99999
99999
D
Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.
The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/8 of the shares subject to the RSU vested on December 15, 2020, and 1/8 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).
The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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).
The shares of Class B Common Stock are to be acquired upon the vesting of an RSU award previously granted to the Reporting Person. The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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's continued service as Lead Independent Director of the Issuer's board of directors.
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.
/s/ Anne-Kathrin Lalendran, Attorney-in-Fact
2024-04-26