FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person
*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/24/2024 |
3. Issuer Name
and
Ticker or Trading Symbol
Rubrik, Inc. [ RBRK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check
Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | (1) | (1) | Class B Common Stock | 14,132,696 | (1) | D (2) | |
Series B Preferred Stock | (1) | (1) | Class B Common Stock | 3,329,928 | (1) | D (2) | |
Series C Preferred Stock | (1) | (1) | Class B Common Stock | 2,940,030 | (1) | I | By Lightspeed Venture Partners Select II, L.P. (3) |
Series D Preferred Stock | (1) | (1) | Class B Common Stock | 8,015,457 | (1) | I | By Lightspeed SPV I, LLC (4) |
Series D Preferred Stock | (1) | (1) | Class B Common Stock | 843,732 | (1) | I | By Lightspeed Venture Partners Select II, L.P. (3) |
Series E Preferred Stock | (1) | (1) | Class B Common Stock | 5,094,719 | (1) | I | By Lightspeed SPV I-B, LLC (5) |
Series E Preferred Stock | (1) | (1) | Class B Common Stock | 3,566,303 | (1) | I | By Lightspeed SPV I-C, LLC (6) |
Series E Preferred Stock | (1) | (1) | Class B Common Stock | 297,192 | (1) | D (2) | |
Series E Preferred Stock | (1) | (1) | Class B Common Stock | 339,648 | (1) | I | By Lightspeed Venture Partners Select II, L.P. (3) |
Class B Common Stock | (7) | (7) | Class A Common Stock | 406,637 | (7) | I | By Lightspeed Venture Partners X, L.P. (8) |
Class B Common Stock | (7) | (7) | Class A Common Stock | 18,084 | (7) | I | By Lightspeed Affiliates X, L.P (9) |
Lightspeed Venture Partners IX, L.P., By: Lightspeed General Partner IX, L.P., its General Partner, By: Lightspeed Ultimate General Partner IX, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed General Partner IX, L.P., By: Lightspeed Ultimate General Partner IX, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed Ultimate General Partner IX, Ltd., By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed Venture Partners Select II, L.P., By: Lightspeed General Partner Select II, L.P., its General Partner, By: Lightspeed Ultimate General Partner Select II, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed General Partner Select II, L.P., By: Lightspeed Ultimate General Partner Select II, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed Ultimate General Partner Select II, Ltd., By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed Venture Partners X, L.P., By: Lightspeed General Partner X, L.P., its General Partner, By: Lightspeed Ultimate General Partner X, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed Affiliates X, L.P., By: Lightspeed General Partner X, L.P., its General Partner, By: Lightspeed Ultimate General Partner X, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed General Partner X, L.P., By: Lightspeed Ultimate General Partner X, Ltd., its General Partner, By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Lightspeed Ultimate General Partner X, Ltd., By /s/ Ravi Mhatre, Director | 04/24/2024 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |