Changes in Beneficial Ownership · 4
Rubrik, Inc.
RBRKNYSEEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
form4-10022026_091056.xml
Filing details
- Report period
- 2026-10-01
- Issuer
- Rubrik, Inc.
- Issuer CIK
- 0001943896
- Trading symbol
- RBRK
- Rule 10b5-1 indication
- Checked
Reporting owner 1
- Name
- THOMPSON JOHN WENDELL
- Reporting owner CIK
- 0001207433
- Relationship
- Director
- Address
- C/O RUBRIK INC., 3495 DEER CREEK ROAD, PALO ALTO, CA, 94304
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | 2026-10-01 | S · Form 4[F1] | 300 | D | 114.68[F2] | 7,200 | I | By John and Sandra Thompson Trust[F3] |
| Class A Common Stock | 2026-10-01 | S · Form 4[F1] | 1,700 | D | 115.62[F4] | 5,500 | I | By John and Sandra Thompson Trust[F3] |
| Class A Common Stock | 2026-10-01 | S · Form 4[F1] | 500 | D | 116.47[F5] | 5,000 | I | By John and Sandra Thompson Trust[F3] |
| Class A Common Stock | 2026-10-01 | C · Form 4 | 11,000 | A | 0 | 19,362 | D | |
| Class A Common Stock | 2026-10-01 | S · Form 4[F1] | 896 | D | 114.71[F6] | 18,466 | D | |
| Class A Common Stock | 2026-10-01 | S · Form 4[F1] | 7,710 | D | 115.57[F7] | 10,756 | D | |
| Class A Common Stock | 2026-10-01 | S · Form 4[F1] | 2,394 | D | 116.46[F8] | 8,362 | D |
Table key
- S · Form 4
- Sale on the market or privately
- D
- Direct
- I
- Indirect
- C · Form 4
- Derivative conversion
- A
- Acquired
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | 4.38 | 2026-10-01 | M · Form 4 | 11,000 | D | 0 | [F9] | 2028-01-21 | Class B Common Stock | 11,000 | 55,946 | D |
| Class B Common Stock | [F10] | 2026-10-01 | M · Form 4 | 11,000 | A | [F10] | [F10] | [F10] | Class A Common Stock | 11,000 | 61,001 | D |
| Class B Common Stock | [F10] | 2026-10-01 | C · Form 4 | 11,000 | D | [F10] | [F10] | [F10] | Class A Common Stock | 11,000 | 50,001 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- D
- Direct
- A
- Acquired
- C · Form 4
- Derivative conversion
Derivative holdings
| Security | Conversion / exercise price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class B Common Stock | [F10] | [F10] | [F10] | Class A Common Stock | 815,338 | 815,338 | I | By John and Sandra Thompson Trust[F3] |
Table key
- I
- Indirect
Footnotes
- F1
- This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.↩ 1↩ 2↩ 3↩ 4↩ 5↩ 6
- F2
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.18 to $115.16 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.↩ 1
- F3
- 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.↩ 1↩ 2↩ 3↩ 4
- F4
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.20 to $115.99 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.↩ 1
- F5
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.34 to $116.65 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.↩ 1
- F6
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.11 to $115.10 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.↩ 1
- F7
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.12 to $116.11 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.↩ 1
- F8
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.16 to $116.97 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.↩ 1
- F9
- Fully vested.↩ 1
- F10
- 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 and has no expiration date.↩ 1↩ 2↩ 3↩ 4↩ 5↩ 6↩ 7↩ 8↩ 9↩ 10↩ 11
Signature 1
- Signed
- /s/ Anne-Kathrin Lalendran, Attorney-in-Fact
- Date
- 2026-10-02