Choudary Kiran Kumar's Form 4 filing
Rubrik, Inc. (RBRK) · filed Nov 8, 2024
- Accession no.
- 0001415889-24-026426
- Filed
- Nov 8, 2024
- Trade date
- Oct 22-Nov 6, 2024
- Filing delay
- 17 daysLate
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 6 derivative transactions. Open-market sales total $531.9K. It was filed 17 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Choudary Kiran KumarCIK 0002020220 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 22, 2024 | Class A Common Stock | CConversionAcquired | +1,000 | $0.00 | $0 | 418,760 | Direct | |
| Oct 22, 2024 | Class A Common Stock | SSaleDisposed | −11,800 | $38.49F3 | −$454,182 | 406,960 | Direct | |
| Nov 6, 2024 | Class A Common Stock | CConversionAcquired | +1,000 | $0.00 | $0 | 407,960 | Direct | |
| Nov 6, 2024 | Class A Common Stock | SSaleDisposed | −1,800 | $43.15F4 | −$77,670 | 406,160 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 22, 2024 | Class B Common Stock | MOption exerciseDisposed | −1,000 | $0.00 | $0 | 95,450 | Direct | |
| Oct 22, 2024 | Class A Common Stock | MOption exerciseAcquired | +1,000 | –F7 | – | 1,000 | Direct | |
| Oct 22, 2024 | Class A Common Stock | CConversionDisposed | −1,000 | –F7 | – | 0 | Direct | |
| Nov 6, 2024 | Class B Common Stock | MOption exerciseDisposed | −1,000 | $0.00 | $0 | 94,450 | Direct | |
| Nov 6, 2024 | Class A Common Stock | MOption exerciseAcquired | +1,000 | –F7 | – | 1,000 | Direct | |
| Nov 6, 2024 | Class A Common Stock | CConversionDisposed | −1,000 | –F7 | – | 1,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.86 to $38.82 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.
Referenced by the price of 1 transaction in Table I.
- F4
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.98 to $43.83 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.
Referenced by the price of 1 transaction in Table I.
- F7
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.
Referenced by the price of 4 transactions in Table II.