Notice of Proposed Sale · 144
Rubrik, Inc.
RBRKNYSEEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- RUBRIK INC
- Issuer CIK
- 0001943896
- SEC file number
- 001-42028
- Phone
- 8444782745
- Person for whose account securities are to be sold
- JOHN THOMPSON
- Relationships to issuer
- Director
- Street
- 3495 DEER CREEK ROAD
- City
- Palo Alto
- State / country code
- CA
- Postal code
- 94304
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 33,000 | 2,387,880.00 | 160,956,763 | 08/03/2026 | NYSE | Morgan Stanley Smith Barney LLC Executive Financial Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Executive Financial Services
- Street
- 1 New York Plaza
- Street (continued)
- 8th Floor
- City
- New York
- State / country code
- NY
- Postal code
- 10004
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 08/03/2026 | Exercise of Stock Options | Issuer | 33,000 | N | 08/03/2026 | Cash |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| 10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST | Common | 07/01/2026 | 2,500 | 206,873.00 |
| 10b5-1 Sales for JOHN W THOMPSON | Common | 07/01/2026 | 11,000 | 909,146.70 |
| 10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST | Common | 06/01/2026 | 2,500 | 211,274.50 |
| 10b5-1 Sales for JOHN W THOMPSON | Common | 06/01/2026 | 11,000 | 930,026.90 |
Seller — prior-sale row 1, entry 1
- Name
- 10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST
- Street
- 3495 DEER CREEK ROAD
- City
- Palo Alto
- State / country code
- CA
- Postal code
- 94304
Seller — prior-sale row 2, entry 1
- Name
- 10b5-1 Sales for JOHN W THOMPSON
- Street
- 3495 DEER CREEK ROAD
- City
- Palo Alto
- State / country code
- CA
- Postal code
- 94304
Seller — prior-sale row 3, entry 1
- Name
- 10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST
- Street
- 3495 DEER CREEK ROAD
- City
- Palo Alto
- State / country code
- CA
- Postal code
- 94304
Seller — prior-sale row 4, entry 1
- Name
- 10b5-1 Sales for JOHN W THOMPSON
- Street
- 3495 DEER CREEK ROAD
- City
- Palo Alto
- State / country code
- CA
- Postal code
- 94304
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Remarks
The securities to be sold were and will be received upon the exercise of stock options over the next three months. The dates of acquisition and payment were and will be the dates of exercise/sale.
Notice signature
- Notice date
- 08/03/2026
- Signed
- /s/ John Thompson
- Plan adoption dates
- 10/06/2025
Company context
Rubrik (NYSE: RBRK), the Security and AI Operations Company, leads at the intersection of data protection, cyber resilience, and enterprise AI acceleration. Rubrik Security Cloud delivers complete cyber resilience by securing, monitoring, and recovering data, identities, and workloads across clouds. Rubrik Agent Cloud accelerates trusted AI agent deployments at scale by monitoring and auditing agentic actions, enforcing real-time guardrails, fine-tuning for accuracy and undoing agentic mistakes.