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person · Reporting owner

THOMPSON JOHN WENDELL

Disclosed activity across 3 companies

Tapewire entity
2595
SEC CIK
0001207433

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ILLUMINA, INC.ILMN · Entity 3137DirectorMay 26, 2022May 27, 2022
Rubrik, Inc.RBRK · Entity 2594DirectorOctober 01, 2026October 02, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ILLUMINA, INC.

Report date May 26, 2022 · Filed May 27, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect10,162 Reported balance After 2022-05-26 transaction · row 1
1 source row

Row 1 · 2022-05-26 · Grant · Acquired 1,232 · Balance 10,162

F1: Grant of restricted stock units. 100% of the shares subject to the restricted stock unit award shall vest on the earlier of (i) the one year anniversary of the date of grant of the award and (ii) the date immediately preceding the date of the annual meeting of the company's stockholders for the year following the year of grant of the award, provided, in each case, that the awardee continues to serve as a director on such date.

Filing footnotes · ownership attribution and instrument terms

F1: Grant of restricted stock units. 100% of the shares subject to the restricted stock unit award shall vest on the earlier of (i) the one year anniversary of the date of grant of the award and (ii) the date immediately preceding the date of the annual meeting of the company's stockholders for the year following the year of grant of the award, provided, in each case, that the awardee continues to serve as a director on such date.

Rubrik, Inc.

Report date October 01, 2026 · Filed October 02, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy John and Sandra Thompson Trust5,000 Last balance in matching sequence After 2026-10-01 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2026-10-01 · Sale · Disposed 300 · Balance 7,200

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

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.

Row 2 · 2026-10-01 · Sale · Disposed 1,700 · Balance 5,500

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

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.

Row 3 · 2026-10-01 · Sale · Disposed 500 · Balance 5,000

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

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.

Class A Common StockSEC Table I · non-derivativeDirect8,362 Ending reported balance After 2026-10-01 transaction · row 7
4 source rows · reconciled sequence

Row 4 · 2026-10-01 · Conversion · Acquired 11,000 · Balance 19,362

Row 5 · 2026-10-01 · Sale · Disposed 896 · Balance 18,466

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

Row 6 · 2026-10-01 · Sale · Disposed 7,710 · Balance 10,756

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

Row 7 · 2026-10-01 · Sale · Disposed 2,394 · Balance 8,362

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.38 · Expires 2028-01-21Direct55,946 Reported balance After 2026-10-01 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2026-10-01 · Exercise / conversion · Disposed 11,000 · Balance 55,946

F9: Fully vested.

Class B Common StockSEC Table II · derivative / convertible securityDirect61,001 Reported balance After 2026-10-01 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2026-10-01 · Exercise / conversion · Acquired 11,000 · Balance 61,001

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.

Class B Common StockSEC Table II · derivative / convertible securityDirect50,001 Reported balance After 2026-10-01 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2026-10-01 · Conversion · Disposed 11,000 · Balance 50,001

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.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy John and Sandra Thompson Trust815,338 Reported balance Holding disclosure · report date 2026-10-01 · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · Balance 815,338

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.

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.

Filing footnotes · ownership attribution and instrument terms

F1: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 6, 2025.

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.

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.

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.

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.

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.

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.

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.

F9: Fully vested.

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.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

MICROSOFT CORP

Report date December 14, 2023 · Filed December 15, 2023

Section 16 reporting ended · disclosed 2023-12-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect26,727.467 Reported balance After 2023-12-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-12-14 · Grant · Acquired 54.666 · Balance 26,727.467

F1: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F2: Dividend equivalent rights accrue when and as dividends are paid on the Company's common stock and become exercisable proportionately with the restricted stock units to which they relate.

F3: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made on the first anniversary of the reporting person's separation from service on the Board of Directors.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect42,846.197 Reported balance After 2023-12-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-12-14 · Grant · Acquired 87.636 · Balance 42,846.197

F1: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F2: Dividend equivalent rights accrue when and as dividends are paid on the Company's common stock and become exercisable proportionately with the restricted stock units to which they relate.

F4: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made in 5 equal installments commencing 30 days after the reporting person's separation from service on the Board of Directors and then upon each anniversary of the reporting person's separation from service on the Board of Directors thereafter.

Common StockSEC Table I · non-derivativeDirect1,066 Reported balance Holding disclosure · report date 2023-12-14 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,066

Common StockSEC Table I · non-derivativeIndirectBy Trust27,279 Reported balance Holding disclosure · report date 2023-12-14 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 27,279

Filing footnotes · ownership attribution and instrument terms

F1: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F2: Dividend equivalent rights accrue when and as dividends are paid on the Company's common stock and become exercisable proportionately with the restricted stock units to which they relate.

F3: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made on the first anniversary of the reporting person's separation from service on the Board of Directors.

F4: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made in 5 equal installments commencing 30 days after the reporting person's separation from service on the Board of Directors and then upon each anniversary of the reporting person's separation from service on the Board of Directors thereafter.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 02, 2025 Filed Jun 4, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 1,900 $97.47 $185,193.00
Disclosure

SEC source: 0001415889-25-015638 · form4-06042025_060604.xml · nonDerivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 6,307

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.96 to $97.80 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.

F1 · ownership.nature: 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.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 1,100 $96.53 $106,183.00
Disclosure

SEC source: 0001415889-25-015638 · form4-06042025_060604.xml · nonDerivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 8,207

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.96 to $96.95 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.

F1 · ownership.nature: 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.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 700 $95.41 $66,787.00
Disclosure

SEC source: 0001415889-25-015638 · form4-06042025_060604.xml · nonDerivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 9,307

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.95 to $95.87 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.

F1 · ownership.nature: 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.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 9,009 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-015638 · form4-06042025_060604.xml · nonDerivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 10,007

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: 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.

Read SEC document
May 01, 2025 Filed May 2, 2025 21:00 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 9,009 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-011834 · form4-05022025_050505.xml · derivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 908,401

Underlying: Class A Common Stock · 9,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F5 · price: 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.

F5 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: 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.

F1 · ownership.nature: 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.

Read SEC document
May 01, 2025 Filed May 2, 2025 21:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 6,918 $71.60 $495,328.80
Disclosure

SEC source: 0001415889-25-011834 · form4-05022025_050505.xml · nonDerivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 998

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.28 to $72.20 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.

F1 · ownership.nature: 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.

Read SEC document
May 01, 2025 Filed May 2, 2025 21:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 2,091 $70.97 $148,398.27
Disclosure

SEC source: 0001415889-25-011834 · form4-05022025_050505.xml · nonDerivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 7,916

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.25 to $71.21 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.

F1 · ownership.nature: 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.

Read SEC document
May 01, 2025 Filed May 2, 2025 21:00 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 9,009 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-011834 · form4-05022025_050505.xml · nonDerivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 10,007

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: 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.

Read SEC document
April 01, 2025 Filed Apr 2, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 9,009 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-009750 · form4-04022025_060405.xml · derivative · entry 5

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 917,410

Underlying: Class A Common Stock · 9,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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.

F6 · price: 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.

F6 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: 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.

F1 · ownership.nature: 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.

Read SEC document
April 01, 2025 Filed Apr 2, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 500 $61.15 $30,575.00
Disclosure

SEC source: 0001415889-25-009750 · form4-04022025_060405.xml · nonDerivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 998

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.04 to $61.27 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

F1 · ownership.nature: 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.

Read SEC document
April 01, 2025 Filed Apr 2, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 5,909 $60.39 $356,844.51
Disclosure

SEC source: 0001415889-25-009750 · form4-04022025_060405.xml · nonDerivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 1,498

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.01 to $60.88 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.

F1 · ownership.nature: 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.

Read SEC document
April 01, 2025 Filed Apr 2, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 2,600 $59.55 $154,830.00
Disclosure

SEC source: 0001415889-25-009750 · form4-04022025_060405.xml · nonDerivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 7,407

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.01 to $59.98 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.

F1 · ownership.nature: 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.

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April 01, 2025 Filed Apr 2, 2025 22:00 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 9,009 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-009750 · form4-04022025_060405.xml · nonDerivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 10,007

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 9,009 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · derivative · entry 8

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 926,419

Underlying: Class A Common Stock · 9,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: 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.

F8 · price: 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.

F8 · derivative.exercise_date: 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.

F8 · derivative.expiration_date: 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.

F1 · ownership.nature: 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.

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March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 100 $68.25 $6,825.00
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 7

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 998

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 400 $66.53 $26,612.00
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 6

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 1,098

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F7 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.13 to $67.05 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.

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 500 $65.29 $32,645.00
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 5

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 1,498

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.06 to $65.67 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.

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 2,700 $64.44 $173,988.00
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 1,998

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.03 to $64.91 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

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 2,010 $63.13 $126,891.30
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 4,698

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.62 to $63.56 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.

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 3,299 $61.31 $202,261.69
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 6,708

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.08 to $61.74 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.

F1 · ownership.nature: 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.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 00:42 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 9,009 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006783 · form4-03052025_120319.xml · nonDerivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 10,007

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: 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.

Read SEC document
February 03, 2025 Filed Feb 6, 2025 00:13 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 9,009 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-003159 · form4-02062025_120223.xml · derivative · entry 5

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 935,428

Underlying: Class A Common Stock · 9,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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.

F6 · price: 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.

F6 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: 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.

F1 · ownership.nature: 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.

Read SEC document
February 03, 2025 Filed Feb 6, 2025 00:13 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 3,565 $71.41 $254,576.65
Disclosure

SEC source: 0001415889-25-003159 · form4-02062025_120223.xml · nonDerivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 998

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.17 to $71.73 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

F1 · ownership.nature: 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.

Read SEC document
February 03, 2025 Filed Feb 6, 2025 00:13 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 4,840 $70.81 $342,720.40
Disclosure

SEC source: 0001415889-25-003159 · form4-02062025_120223.xml · nonDerivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 4,563

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.17 to $71.16 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.

F1 · ownership.nature: 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.

Read SEC document
February 03, 2025 Filed Feb 6, 2025 00:13 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 604 $69.79 $42,153.16
Disclosure

SEC source: 0001415889-25-003159 · form4-02062025_120223.xml · nonDerivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 9,403

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.12 to $70.04 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.

F1 · ownership.nature: 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.

Read SEC document
February 03, 2025 Filed Feb 6, 2025 00:13 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 9,009 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-003159 · form4-02062025_120223.xml · nonDerivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 10,007

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: 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.

Read SEC document
January 15, 2025 Filed Jan 17, 2025 01:10 UTC Rubrik, Inc. RBRK · Entity 2594 GrantClass A Common Stock 998 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-001596 · form4-01172025_010123.xml · nonDerivative · entry 5

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 998

F5 · kind: Represents the grant of restricted stock units that are fully vested as of the date of grant.

Read SEC document
January 14, 2025 Filed Jan 17, 2025 01:10 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 9,009 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-001596 · form4-01172025_010123.xml · derivative · entry 6

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 944,437

Underlying: Class A Common Stock · 9,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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.

F6 · price: 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.

F6 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: 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.

F1 · ownership.nature: 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.

Read SEC document
January 14, 2025 Filed Jan 17, 2025 01:10 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 100 $65.80 $6,580.00
Disclosure

SEC source: 0001415889-25-001596 · form4-01172025_010123.xml · nonDerivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 0

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F1 · ownership.nature: 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.

Read SEC document
January 14, 2025 Filed Jan 17, 2025 01:10 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 3,627 $65.01 $235,791.27
Disclosure

SEC source: 0001415889-25-001596 · form4-01172025_010123.xml · nonDerivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 100

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.79 to $65.58 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.

F1 · ownership.nature: 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.

Read SEC document
January 14, 2025 Filed Jan 17, 2025 01:10 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 5,282 $64.46 $340,477.72
Disclosure

SEC source: 0001415889-25-001596 · form4-01172025_010123.xml · nonDerivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 3,727

F2 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2024.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.79 to $64.77 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.

F1 · ownership.nature: 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.

Read SEC document
January 14, 2025 Filed Jan 17, 2025 01:10 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 9,009 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-001596 · form4-01172025_010123.xml · nonDerivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 9,009

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: 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.

Read SEC document
December 17, 2024 Filed Dec 20, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionClass B Common Stock · Derivative 24,999 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-029925 · form4-12192024_081203.xml · derivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,999

Underlying: Class A Common Stock · 24,999 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: 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.

F4 · price: 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

Read SEC document
December 17, 2024 Filed Dec 20, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 8,333 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029925 · form4-12192024_081203.xml · derivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Class B Common Stock · 8,333 shares

Expires 2029-11-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F3 · derivative.exercise_date: The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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's continued service as Lead Independent Director of the Issuer's board of directors.

Read SEC document
December 17, 2024 Filed Dec 20, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029925 · form4-12192024_081203.xml · derivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,668

Underlying: Class B Common Stock · 16,666 shares

Expires 2029-11-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F2 · derivative.exercise_date: The RSUs shall vest as follows: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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).

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April 29, 2024 Filed May 1, 2024 22:05 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 853,447 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011895 · form4-05012024_100534.xml · derivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 853,447

Underlying: Class A Common Stock · 853,447 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.

F3 · derivative.exercise_date: 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.

F3 · derivative.expiration_date: 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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.

F2 · ownership.nature: 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.

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April 29, 2024 Filed May 1, 2024 22:05 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionSeries C Preferred Stock · Derivative 72,955 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011895 · form4-05012024_100534.xml · derivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 0

Underlying: Class B Common Stock · 72,955 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F2 · ownership.nature: 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.

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April 29, 2024 Filed May 1, 2024 22:05 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionSeries B Preferred Stock · Derivative 408,580 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011895 · form4-05012024_100534.xml · derivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 0

Underlying: Class B Common Stock · 408,580 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F2 · ownership.nature: 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.

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April 29, 2024 Filed May 1, 2024 22:05 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionSeries A Preferred Stock · Derivative 371,912 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011895 · form4-05012024_100534.xml · derivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By John and Sandra Thompson Trust

Disclosed balance after: 0

Underlying: Class B Common Stock · 371,912 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Class B Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.

F2 · ownership.nature: 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.

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April 25, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionClass B Common Stock · Derivative 99,999 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 7

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,999

Underlying: Class A Common Stock · 99,999 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F5 · price: 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.

F5 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: 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.

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April 25, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 8,333 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 6

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Class B Common Stock · 8,333 shares

Expires 2029-11-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F4 · derivative.exercise_date: 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: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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's continued service as Lead Independent Director of the Issuer's board of directors.

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April 25, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 5

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Class B Common Stock · 16,666 shares

Expires 2029-11-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F3 · derivative.exercise_date: 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: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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).

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April 25, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 75,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 75,000 shares

Expires 2027-08-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F2 · derivative.exercise_date: 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: 1/8 of the shares subject to the RSU vested on December 15, 2020, and 1/8 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).

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April 24, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Class B Common Stock · 25,000 shares

Expires 2029-11-28

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F4 · derivative.exercise_date: 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: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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's continued service as Lead Independent Director of the Issuer's board of directors.

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April 24, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 2

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class B Common Stock · 50,000 shares

Expires 2029-11-28

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F3 · derivative.exercise_date: 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: 1/3 of the shares subject to the RSU vested on December 15, 2023, and 1/3 of the shares subject to the RSU vest every year 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).

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April 24, 2024 Filed Apr 27, 2024 01:00 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 75,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011628 · form4-04272024_010440.xml · derivative · entry 1

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Class B Common Stock · 75,000 shares

Expires 2027-08-13

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Class B Common Stock.

F2 · derivative.exercise_date: 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: 1/8 of the shares subject to the RSU vested on December 15, 2020, and 1/8 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).

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December 14, 2023 Filed Dec 15, 2023 23:10 UTC MICROSOFT CORP MSFT · Entity 1016 GrantRestricted Stock Units · Derivative 87.636 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-022682 · form4.xml · derivative · entry 4

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,846.197

Underlying: Common Stock · 87.636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F2 · shares: Dividend equivalent rights accrue when and as dividends are paid on the Company's common stock and become exercisable proportionately with the restricted stock units to which they relate.

F4 · derivative.exercise_date: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made in 5 equal installments commencing 30 days after the reporting person's separation from service on the Board of Directors and then upon each anniversary of the reporting person's separation from service on the Board of Directors thereafter.

F4 · derivative.expiration_date: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made in 5 equal installments commencing 30 days after the reporting person's separation from service on the Board of Directors and then upon each anniversary of the reporting person's separation from service on the Board of Directors thereafter.

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December 14, 2023 Filed Dec 15, 2023 23:10 UTC MICROSOFT CORP MSFT · Entity 1016 GrantRestricted Stock Units · Derivative 54.666 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-022682 · form4.xml · derivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,727.467

Underlying: Common Stock · 54.666 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F2 · shares: Dividend equivalent rights accrue when and as dividends are paid on the Company's common stock and become exercisable proportionately with the restricted stock units to which they relate.

F3 · derivative.exercise_date: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made on the first anniversary of the reporting person's separation from service on the Board of Directors.

F3 · derivative.expiration_date: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made on the first anniversary of the reporting person's separation from service on the Board of Directors.

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December 06, 2023 Filed Dec 7, 2023 23:12 UTC MICROSOFT CORP MSFT · Entity 1016 GrantRestricted Stock Units · Derivative 159.3 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-022108 · form4.xml · derivative · entry 3

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,758.561

Underlying: Common Stock · 159.3 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F2 · derivative.exercise_date: The restricted stock units are fully vested.

F2 · derivative.expiration_date: The restricted stock units are fully vested.

F3 · balance_after: Delivery of the shares to the reporting person will be made in five equal annual installments beginning 30 days after the reporting person's separation from service on the Board of Directors.

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September 14, 2023 Filed Sep 15, 2023 22:19 UTC MICROSOFT CORP MSFT · Entity 1016 GrantRestricted Stock Units · Derivative 53.443 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-018092 · form4.xml · derivative · entry 6

THOMPSON JOHN WENDELL · CIK 0001207433 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,672.801

Underlying: Common Stock · 53.442 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Microsoft common stock.

F5 · shares: Dividend equivalent rights accrue when and as dividends are paid on the Company's common stock and become exercisable proportionately with the restricted stock units to which they relate.

F2 · derivative.exercise_date: The restricted stock units are fully vested.

F2 · derivative.expiration_date: The restricted stock units are fully vested.

F4 · balance_after: The restricted stock units are fully vested. Delivery of the shares to the reporting person will be made on the first anniversary of the reporting person's separation from service on the Board of Directors.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.