# EDGAR Filing Document

**Accession Number:** 0002019143
**File Stem:** 0001415889-25-017877
**Filing Date:** 2025-6
**Character Count:** 8116
**Document Hash:** 23cc0df0af2bf88b8d9b52f9e5001115
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-25-017877.hdr.sgml**: 20250620

**ACCESSION NUMBER**: 0001415889-25-017877

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250617

**FILED AS OF DATE**: 20250620

**DATE AS OF CHANGE**: 20250620

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Nithrakashyap Arvind
- **CENTRAL INDEX KEY:** 0002019143

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42028
- **FILM NUMBER:** 251062084

**MAIL ADDRESS:**
- **STREET 1:** 3495 DEER CREEK ROAD
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94304
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Rubrik, Inc.
- **CENTRAL INDEX KEY:** 0001943896
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 464560494
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0131

**BUSINESS ADDRESS:**
- **STREET 1:** 3495 DEER CREEK ROAD
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94304
- **BUSINESS PHONE:** 8444782745

**MAIL ADDRESS:**
- **STREET 1:** 3495 DEER CREEK ROAD
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94304

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Nithrakashyap Arvind<br><sub>(Last) (First) (Middle)</sub><br>C/O RUBRIK INC.<br>3495 DEER CREEK ROAD<br><sub>(Street)</sub><br>PALO ALTO, CA 94304<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Technology Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rubrik, Inc. [ RBRK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2025-06-17 |  | C |  | 81250 | A | $0 | 81250 | D |  |
| Class A Common Stock | 2025-06-17 |  | S |  | 43128<sup>(1)</sup> | D | $88.5629 | 38122 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit | <sup>(2)</sup> | 2025-06-17 |  | M |  |  | 81250 | <sup>(3)</sup> | 2029-08-07 | Class B Common Stock | 81250 | $0 | 121875 | D |  |
| Class B Common Stock | <sup>(4)</sup> | 2025-06-17 |  | M |  | 81250 |  | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 81250 | $0 | 10412195 | D |  |
| Class B Common Stock | <sup>(4)</sup> | 2025-06-17 |  | C |  |  | 81250 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 81250 | $0 | 10330945 | D |  |
| Class B Common Stock | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 200000 |  | 200000 | I | By Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust<sup>(5)</sup> |

---

### Footnotes:

(1) 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).

(2) Each RSU represents a contingent right to receive one share of Class B Common Stock.

(3) 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 vest in sixteen equal quarterly installments measured from January 27, 2022 and the Issuer's achievement of a specified average price per share prior to the earlier of (i) the five year anniversary of the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering and (ii) the expiration of the RSU award, 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) as a full time employee of the Issuer on each such date.

(4) 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.

(5) The shares are held of record by Arvind Nithrakashyap, as Trustee of the Nithrakashyap/Chatterjee Revocable Trust, for which the Reporting Person serves as trustee and shares voting and dispositive power with his spouse.

**Signature:** /s/ Larry Guo, Attorney-in-Fact  
**Date:** 2025-06-20

### Remarks:

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.**