RBRK Form 144: 33,000-Share Option Exercise Filed

Morgan Stanley Smith Barney LLC Executive Financial Services filed a Form 144 noticing the proposed sale related to an exercise of stock options for 33,000 common shares on 05/01/2026 to be settled in cash.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services filed a Form 144 noticing the proposed sale related to an exercise of stock options for 33,000 common shares on 05/01/2026 to be settled in cash. The filing also lists multiple 10b5-1 sales by John W. Thompson and the John and Sandra Thompson Trust totaling recurring monthly transactions in February–April 2026.

Key Figures

Option exercise shares: 33,000 shares April 2026 Trust sale: 2,500 shares April 2026 individual sale: 11,000 shares +3 more

6 metrics

Option exercise shares 33,000 shares Exercise of stock options on 05/01/2026

April 2026 Trust sale 2,500 shares 10b5-1 sale for John and Sandra Thompson Trust on 04/01/2026

April 2026 individual sale 11,000 shares 10b5-1 sale for John W. Thompson on 04/01/2026 (cash $537,956.10)

March 2026 Trust sale 2,500 shares 10b5-1 sale for John and Sandra Thompson Trust on 03/02/2026

March 2026 individual sale 11,000 shares 10b5-1 sale for John W. Thompson on 03/02/2026 (cash $589,759.50)

February 2026 individual sale 11,000 shares 10b5-1 sale for John W. Thompson on 02/02/2026 (cash $608,227.40)

Key Terms

10b5-1, Exercise of Stock Options, Cash settlement

3 terms

10b5-1 regulatory

"10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST 3495 DEER"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Exercise of Stock Options financial

"05/01/2026 | Exercise of Stock Options | Issuer"

Cash settlement financial

"05/01/2026 | Exercise of Stock Options | Issuer | | | 33000 | 05/01/2026 | Cash"

Cash settlement is a process where, instead of exchanging physical assets like stocks or commodities, the parties involved settle the difference in value with money after a contract ends. For investors, it simplifies transactions by avoiding the need to handle or deliver the actual asset, making it quicker and more convenient to complete trades. This method ensures a straightforward way to settle agreements based on their final value.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does RBRK's Form 144 disclose about the 05/01/2026 transaction?

It discloses an exercise of stock options for 33,000 common shares on 05/01/2026, to be settled in cash. The filing lists the broker as Morgan Stanley Smith Barney LLC Executive Financial Services.

Which parties executed 10b5-1 sales reported in the Form 144 for RBRK?

The filing lists John W. Thompson and the John and Sandra Thompson Trust as sellers under 10b5-1 plans. Sales occurred in February, March, and April 2026 with multiple tranches each month.

How many shares were sold in the 10b5-1 transactions shown for April 2026?

April 2026 10b5-1 transactions shown include 2,500 shares from the Trust and 11,000 shares from John W. Thompson, with aggregate cash amounts listed per line in the filing.

Who is the broker/dealer listed on the Form 144?

The broker/dealer is listed as Morgan Stanley Smith Barney LLC Executive Financial Services located at 1 New York Plaza, 8th Floor, New York, NY. The NYSE is indicated as the market.

Are the 10b5-1 sales presented as single or recurring transactions?

The filing shows recurring monthly 10b5-1 sales across 02/02/2026, 03/02/2026, and 04/01/2026, with repeated line items for the Trust and for John W. Thompson.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/01/2026 - 04:48 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001207433
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	RUBRIK INC
SEC File Number	001-42028
Address of Issuer	3495 DEER CREEK ROAD Palo Alto CALIFORNIA 94304
Phone	8444782745
Name of Person for Whose Account the Securities are To Be Sold	JOHN THOMPSON
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	33000	1754940.00	157404648	05/01/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/01/2026	Exercise of Stock Options	Issuer			33000	05/01/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	04/01/2026	2500	122395.00
10b5-1 Sales for JOHN W THOMPSON 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	04/01/2026	11000	537956.10
10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	03/02/2026	2500	133882.75
10b5-1 Sales for JOHN W THOMPSON 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	03/02/2026	11000	589759.50
10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	02/02/2026	2500	138260.00
10b5-1 Sales for JOHN W THOMPSON 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	02/02/2026	11000	608227.40

144: Remarks and Signature

Remarks	The securities to be sold were and will be received upon the exercise of stock options over the next three months. The dates of acquisition and payment were and will be the dates of exercise/sale.
Date of Notice	05/01/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	10/06/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ John Thompson
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)