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
- 1-844-478-2745
- Person for whose account securities are to be sold
- Bipul Sinha
- Relationships to issuer
- Officer
- 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 |
|---|---|---|---|---|---|---|
| Class A Common | 500,000 | 56,900,000 | 167,367,143 | 09/25/2026 | NYSE | Goldman Sachs & Co. LLC |
Broker / market maker — proposed row 1, entry 1
- Name
- Goldman Sachs & Co. LLC
- Street
- 200 West Street
- City
- New York
- State / country code
- NY
- Postal code
- 10282
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Class A Common | 02/28/2022 | Acquired Class B common shares from Issuer in private transaction; Class B common shares were converted to Class A common shares, and subsequently contributed to SBSP EQUITY 1 LLC | The Issuer | 30,269 | N | 02/28/2022 | None |
| Class A Common | 02/17/2021 | Acquired Class B common shares from Issuer in private transaction; Class B common shares were converted to Class A common shares, and subsequently contributed to SBSP EQUITY 1 LLC | The Issuer | 469,731 | N | 02/17/2021 | None |
Prior-sale reporting
- Nothing to report for the preceding three months
- Y
Remarks
In accordance with the procedures described in the Commission's interpretive letter to Goldman, Sachs & Co. dated 12/20/99, the shares of Class A Common Stock noticed in Section 3(c) of this Form 144 are subject to a pre-paid forward sale contract between an entity of which Mr. Sinha is the sole equity member and the broker named in Section 3(b). The contract provides for an up-front cash payment to the entity based upon the market price of the shares. Upon expiration, the entity will be obligated to deliver a specified number of shares based on the then-current market price at settlement and the agreed forward floor and cap prices. The entity has pledged 500k shares of Mr. Sinha's Class A Common Stock to secure the entity's obligations under the contract. Subject to certain conditions, the entity may elect to cash settle the contract and retain ownership of the pledged shares. Any hedging activity in connection with the contract will be conducted by the broker named in Section 3(b).
Notice signature
- Notice date
- 09/25/2026
- Signed
- Goldman Sachs & Co. LLC on behalf of Bipul Sinha