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