TapewireFind a company

person · Reporting owner

McCarthy Brian K.

Disclosed activity across 1 company

Tapewire entity
67991
SEC CIK
0002020217

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Rubrik, Inc.RBRK · Entity 2594Pres.,Global Sales & Field OpsJanuary 31, 2026February 03, 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.

Rubrik, Inc.

Report date January 31, 2026 · Filed February 03, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect772,794 Reported balance After 2026-01-31 transaction · row 1
1 source row

Row 1 · 2026-01-31 · Grant · Acquired 442,022 · Balance 772,794

F1: Represents the grant of restricted stock units which are subject to service-based vesting conditions.

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect147,341 Reported balance After 2026-01-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-01-31 · Grant · Acquired 147,341 · Balance 147,341

F2: Represents the grant of Performance Stock Units ("PSUs"). The PSUs vest upon the Issuer's Class A Common Stock achieving specified per share prices, subject to the Reporting Person's Continuous Service through each performance achievement date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the grant of restricted stock units which are subject to service-based vesting conditions.

F2: Represents the grant of Performance Stock Units ("PSUs"). The PSUs vest upon the Issuer's Class A Common Stock achieving specified per share prices, subject to the Reporting Person's Continuous Service through each performance achievement date.

Transaction history

JSON API
Reset

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
December 02, 2024 Filed Dec 4, 2024 18:00 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 16,418 $49.70 $815,974.60
Disclosure

SEC source: 0001415889-24-028313 · form4-12042024_061201.xml · nonDerivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 346,127

F1 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 2024

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.31 to $50.30 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.

Read SEC document
November 22, 2024 Filed Nov 22, 2024 21:12 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 25,000 $50.38 $1,259,500.00
Disclosure

SEC source: 0001415889-24-027595 · form4-11232024_021146.xml · nonDerivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 362,545

F1 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 2024

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.79 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.

Read SEC document
November 01, 2024 Filed Nov 5, 2024 17:47 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 25,000 $41.39 $1,034,750.00
Disclosure

SEC source: 0001415889-24-026187 · form4-11052024_101120.xml · nonDerivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 387,545

F1 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 2024

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.14 to $41.86 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.

Read SEC document
October 11, 2024 Filed Oct 15, 2024 17:01 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 25,000 $40.00 $1,000,000.00
Disclosure

SEC source: 0001415889-24-025123 · form4-10152024_091006.xml · nonDerivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 412,545

F1 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 2024

Read SEC document
October 01, 2024 Filed Oct 3, 2024 17:15 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 300 $31.77 $9,531.00
Disclosure

SEC source: 0001415889-24-024642 · form4-10032024_091017.xml · nonDerivative · entry 2

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 437,545

F1 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 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 $31.75 to $31.80 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.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 17:15 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 24,700 $31.24 $771,628.00
Disclosure

SEC source: 0001415889-24-024642 · form4-10032024_091017.xml · nonDerivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 437,845

F1 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 2024

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.73 to $31.70 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.

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass B Common Stock · Derivative 125,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · derivative · entry 8

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 125,000 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.

F9 · 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.

F9 · 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.

F9 · 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.

F9 · 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
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionClass B Common Stock · Derivative 125,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · derivative · entry 7

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Class A Common Stock · 125,000 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.

F9 · 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.

F9 · 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.

F9 · 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.

F9 · 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
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · derivative · entry 6

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Class B Common Stock · 12,500 shares

Expires 2029-04-13

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.

F6 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class B Common Stock.

F8 · 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: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 112,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · derivative · entry 5

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Class B Common Stock · 112,500 shares

Expires 2028-03-30

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 RSU represents a contingent right to receive one share of Class B Common Stock.

F7 · 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: 1/4 of the shares subject to the RSU vested on March 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 21,527 $31.59 $680,037.93
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · nonDerivative · entry 4

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 462,545

F3 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 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 $31.36 to $31.84 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.

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 28,473 $30.94 $880,954.62
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · nonDerivative · entry 3

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 484,072

F3 · kind: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted June 27, 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 $30.36 to $31.35 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.

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 SaleClass A Common Stock 54,672 $31.41 $1,717,220.18
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · nonDerivative · entry 2

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 512,545

F2 · shares: This sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain Restricted Stock Units (RSUs).

Read SEC document
September 26, 2024 Filed Sep 30, 2024 20:36 UTC Rubrik, Inc. RBRK · Entity 2594 ConversionClass A Common Stock 125,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-024116 · form4-10012024_121042.xml · nonDerivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 567,217

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 · balance_after: Includes 337 additional shares of Class A Common Stock acquired under the Rubrik, Inc. 2024 Employee Stock Purchase Plan on September 20, 2024. This transaction is exempt from Rule 16b-3(c). Also includes shares of Class A Common Stock that were converted from Class B Common Stock in connection with the Issuer's initial public offering but inadvertently reported as Class B Common Stock in prior reports.

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionClass B Common Stock · Derivative 441,880 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 12

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 441,880

Underlying: Class A Common Stock · 441,880 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.

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Tax withholdingRestricted Stock Units · Derivative 21,745 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 11

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Class B Common Stock · 21,745 shares

Expires 2030-03-24

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

F7 · shares: Represents the number of shares withheld by the Issuer in connection with the net settlement of the applicable RSUs prior to the open of trading on April 25, 2024, which settlement date was determined by the Issuer's board of directors, to satisfy the tax obligation realized upon vesting of such RSUs.

F5 · 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: 50,000 shares subject to the RSU vested on March 15, 2024, 100,000 shares subject to the RSU vest on March 15, 2025, 125,000 shares vest on March 15, 2026, and 150,000 shares vest on March 15, 2027, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Tax withholdingRestricted Stock Units · Derivative 21,752 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 10

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class B Common Stock · 21,752 shares

Expires 2029-04-13

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

F7 · shares: Represents the number of shares withheld by the Issuer in connection with the net settlement of the applicable RSUs prior to the open of trading on April 25, 2024, which settlement date was determined by the Issuer's board of directors, to satisfy the tax obligation realized upon vesting of such RSUs.

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: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Tax withholdingRestricted Stock Units · Derivative 289,623 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 9

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Class B Common Stock · 289,623 shares

Expires 2028-03-30

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

F7 · shares: Represents the number of shares withheld by the Issuer in connection with the net settlement of the applicable RSUs prior to the open of trading on April 25, 2024, which settlement date was determined by the Issuer's board of directors, to satisfy the tax obligation realized upon vesting of such RSUs.

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: 1/4 of the shares subject to the RSU vested on March 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 28,255 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 8

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 396,745

Underlying: Class B Common Stock · 28,255 shares

Expires 2030-03-24

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.

F5 · 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: 50,000 shares subject to the RSU vested on March 15, 2024, 100,000 shares subject to the RSU vest on March 15, 2025, 125,000 shares vest on March 15, 2026, and 150,000 shares vest on March 15, 2027, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 28,248 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 7

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,752

Underlying: Class B Common Stock · 28,248 shares

Expires 2029-04-13

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.

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: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 25, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 Exercise / conversionRestricted Stock Units · Derivative 385,377 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 6

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 514,623

Underlying: Class B Common Stock · 385,377 shares

Expires 2028-03-30

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: 1/4 of the shares subject to the RSU vested on March 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 24, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 250,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 5

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Class B Common Stock · 250,000 shares

Expires 2031-03-25

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

F6 · 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: 10% of the shares subject to the RSU vest on March 15, 2025, 20% of the shares subject to the RSU vest on March 15, 2026, 35% of the shares subject to the RSU vest on March 15, 2027, and 35% of the shares subject to the RSU vest on March 15, 2028, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 24, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 425,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 4

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 425,000

Underlying: Class B Common Stock · 425,000 shares

Expires 2030-03-24

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

F5 · 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: 50,000 shares subject to the RSU vested on March 15, 2024, 100,000 shares subject to the RSU vest on March 15, 2025, 125,000 shares vest on March 15, 2026, and 150,000 shares vest on March 15, 2027, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 24, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 3

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Class B Common Stock · 100,000 shares

Expires 2029-04-13

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: 1/16 of the shares subject to the RSU vested on June 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 24, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 2

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Class B Common Stock · 150,000 shares

Expires 2028-03-30

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: all of the shares subject to the RSU will vest upon the Issuer's achievement of a specified average price per share prior to the expiration of the RSU award, subject to the Reporting Person subject to the Reporting Person continuing to have a Service Relationship (as defined in the Amended and Restated Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document
April 24, 2024 Filed Apr 26, 2024 21:54 UTC Rubrik, Inc. RBRK · Entity 2594 GrantRestricted Stock Units · Derivative 900,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-011635 · form4-04272024_010448.xml · derivative · entry 1

McCarthy Brian K. · CIK 0002020217 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Class B Common Stock · 900,000 shares

Expires 2028-03-30

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: 1/4 of the shares subject to the RSU vested on March 15, 2022, and 1/16 of the shares subject to the RSU vest every quarter thereafter, and a liquidity event-based vesting condition which was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, all subject to the Reporting Person continuing to have a Service Relationship (as defined in the Issuer's Amended and Restated 2014 Stock Option and Grant Plan).

Read SEC document

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