Sinha Bipul 的 Form 4 申報
Rubrik, Inc.（RBRK），2024/12/13 申報
- 申報編號
- 0001415889-24-029360
- 申報時間
- 2024/12/13
- 交易日
- 2024/12/13
- 申報延遲
- 當天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 3 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $8,136 萬。交易當天就申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Sinha BipulCIK 0001685768 | 董事、高階主管（董事長、執行長）、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/12/13 | Class A Common Stock | C轉換取得 | +1,500,082 | –F1 | – | 1,531,394 | 直接 | |
| 2024/12/13 | Class A Common Stock | S賣出處分 | −1,158,082 | $70.25 | −$81,355,260.5 | 373,312 | 直接 | |
| 2024/12/13 | Class A Common Stock | G贈與處分 | −342,000 | $0.00 | $0 | 31,312 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/12/13 | Class B Common Stock | M行使選擇權處分 | −1,158,082 | $0.00 | $0 | 0 | 直接 | |
| 2024/12/13 | Class A Common Stock | M行使選擇權取得 | +1,158,082 | $0.00 | $0 | 13,500,728 | 直接 | |
| 2024/12/13 | Class A Common Stock | C轉換處分 | −1,500,082 | $0.00 | $0 | 12,000,646 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
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. Represents conversions of shares of Class B Common Stock into shares of Class A Common Stock prior to the execution of the block sale and gifts described in the "Remarks" section of this report.
表 I 有 1 筆交易的價格引用這則附註。
備註
On December 13, 2024, Mr. Sinha, the Reporting Person, executed a block sale of 1,158,082 shares of Class A common stock (the "Block Shares") at $70.25 per share, following receipt by the Reporting Person of the Block Shares upon the vesting and settlement of the Reporting Person's performance-based restricted stock units (the "PSU"), which were initially granted in May 2018. A majority of the proceeds from the sale of the Block Shares was used to satisfy tax withholding obligations due upon the settlement of the applicable tranche of the PSU. In addition, on December 13, 2024, the Reporting Person executed gifts of a total of 342,000 shares of Class A common stock, upon conversion of an equal number of shares of Class B common stock previously held by the Reporting Person.