0001415889-24-011636.txt : 20240426
0001415889-24-011636.hdr.sgml : 20240426
20240426215705
ACCESSION NUMBER: 0001415889-24-011636
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: Choudary Kiran Kumar
CENTRAL INDEX KEY: 0002020220
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-42028
FILM NUMBER: 24886311
MAIL ADDRESS:
STREET 1: 3495 DEER CREEK ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94304
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_010455.xml
X0508
4
2024-04-24
0001943896
Rubrik, Inc.
RBRK
0002020220
Choudary Kiran Kumar
C/O RUBRIK INC.
3495 DEER CREEK ROAD
PALO ALTO
CA
94304
false
true
false
false
Chief Financial Officer
0
Restricted Stock Units
2024-04-24
4
A
0
50000
0
A
2025-09-18
Class B Common Stock
50000
50000
D
Restricted Stock Units
2024-04-24
4
A
0
50000
0
A
2027-05-08
Class B Common Stock
50000
50000
D
Restricted Stock Units
2024-04-24
4
A
0
3338
0
A
2027-05-08
Class B Common Stock
3338
3338
D
Restricted Stock Units
2024-04-24
4
A
0
700000
0
A
2027-11-19
Class B Common Stock
700000
700000
D
Restricted Stock Units
2024-04-24
4
A
0
50000
0
A
2027-11-19
Class B Common Stock
50000
50000
D
Restricted Stock Units
2024-04-24
4
A
0
115000
0
A
2029-04-13
Class B Common Stock
115000
115000
D
Restricted Stock Units
2024-04-24
4
A
0
550000
0
A
2030-03-24
Class B Common Stock
550000
550000
D
Restricted Stock Units
2024-04-24
4
A
0
275000
0
A
2031-03-25
Class B Common Stock
275000
275000
D
Restricted Stock Units
2024-04-25
4
M
0
24657
0
D
2025-09-18
Class B Common Stock
24657
25343
D
Restricted Stock Units
2024-04-25
4
M
0
24656
0
D
2027-05-08
Class B Common Stock
24656
25344
D
Restricted Stock Units
2024-04-25
4
M
0
1645
0
D
2027-05-08
Class B Common Stock
1645
1693
D
Restricted Stock Units
2024-04-25
4
M
0
302078
0
D
2027-11-19
Class B Common Stock
302078
397922
D
Restricted Stock Units
2024-04-25
4
M
0
24660
0
D
2027-11-19
Class B Common Stock
24660
25340
D
Restricted Stock Units
2024-04-25
4
M
0
28356
0
D
2029-04-13
Class B Common Stock
28356
86644
D
Restricted Stock Units
2024-04-25
4
M
0
36990
0
D
2030-03-24
Class B Common Stock
36990
513010
D
Restricted Stock Units
2024-04-25
4
F
0
25343
0
D
2025-09-18
Class B Common Stock
25343
0
D
Restricted Stock Units
2024-04-25
4
F
0
25344
0
D
2027-05-08
Class B Common Stock
25344
0
D
Restricted Stock Units
2024-04-25
4
F
0
1693
0
D
2027-05-08
Class B Common Stock
1693
0
D
Restricted Stock Units
2024-04-25
4
F
0
310422
0
D
2027-11-19
Class B Common Stock
310422
87500
D
Restricted Stock Units
2024-04-25
4
F
0
25340
0
D
2027-11-19
Class B Common Stock
25340
0
D
Restricted Stock Units
2024-04-24
4
F
0
29144
0
D
2029-04-13
Class B Common Stock
29144
57500
D
Restricted Stock Units
2024-04-25
4
F
0
38010
0
D
2030-03-24
Class B Common Stock
38010
475000
D
Class B Common Stock
2024-04-25
4
M
0
443042
A
Class A Common Stock
443042
443042
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: 1/4 of the shares subject to the RSU vested on June 15, 2019, and 1/48 of the shares subject to the RSU vest every month 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: 1/16 of the shares subject to the RSU vested on June 15, 2020, and 1/16 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: 1/2 of the shares subject to the RSU vested on September 15, 2020, 1/4 of the shares subject to the RSU vested on December 15, 2020, and 1/4 of the shares subject to the RSU vested on March 15, 2021, 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: 1/16 of the shares subject to the RSU vested on December 15, 2020, and 1/16 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: 1/4 of the shares subject to the RSU vested on December 15, 2020, and 1/4 of the shares subject to the RSU vested 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: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 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: 75,000 shares subject to the RSU vested on March 15, 2024, 125,000 shares subject to the RSU vest on March 15, 2025, 150,000 shares vest on March 15, 2026, and 200,000 shares vest on March 15, 2027, 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: 10% of the shares subject to the RSU vest on March 15, 2025, 20% of the shares subject to the RSU vest on March 15, 2026, 35% of the shares subject to the RSU vest on March 15, 2027, and 35% of the shares subject to the RSU vest on March 15, 2028, 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).
Represents the number of shares withheld by the Issuer in connection with the net settlement of the applicable RSUs prior to the open of trading on April 25, 2024, which settlement date was determined by the Issuer's board of directors, to satisfy the tax obligation realized upon vesting of such RSUs.
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