Rubrik: Thompson trust proposes $621K share sale

The notice also lists prior 10b5-1 sales by the trust and John W. Thompson during August, September and October 2026.

Available on EDGAR 11/02/2026 - 04:37 PM EST Accepted by SEC EDGAR 11/02/2026 - 04:36 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Rubrik, Inc. (RBRK) is named in a Form 144 notice for the proposed sale by the John and Sandra Thompson Trust of 5,000 common shares, with an aggregate market value of $620,750.00 and an approximate sale date of November 2, 2026. Morgan Stanley Smith Barney LLC is listed in the broker field, and the issuer-relationship designation is Director.

Separate entries list 10b5-1 sales by the trust and John W. Thompson during August, September and October 2026. For October 1, 2026, the entries list 2,500 shares and $289,191.00 for the trust, and 11,000 shares and $1,272,602.10 for John W. Thompson. These are prior-sale entries, separate from the proposed sale.

Key Figures

Common shares listed for proposed sale: 5,000 shares Aggregate market value: $620,750.00 Shares in prior 10b5-1 sale: 2,500 shares +3 more

6 metrics

Common shares listed for proposed sale 5,000 shares John and Sandra Thompson Trust; approximate sale date November 2, 2026

Aggregate market value $620,750.00 Proposed sale by John and Sandra Thompson Trust

Shares in prior 10b5-1 sale 2,500 shares John and Sandra Thompson Trust, October 1, 2026

Amount listed for prior 10b5-1 sale $289,191.00 John and Sandra Thompson Trust, October 1, 2026

Shares in prior 10b5-1 sale 11,000 shares John W. Thompson, October 1, 2026

Amount listed for prior 10b5-1 sale $1,272,602.10 John W. Thompson, October 1, 2026

Key Terms

Rule 144, 10b5-1 Sales, Private Acquisition from Issuer

3 terms

Rule 144 regulatory

"definition of "person" in paragraph (a) of Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

10b5-1 Sales regulatory

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

10b5-1 sales are pre-arranged stock-trading plans that let company insiders automatically buy or sell shares according to a fixed schedule or formula, even if they later learn confidential information. Think of it as setting up an automatic thermostat for trades: it creates a clear, documented path that can protect insiders from insider-trading accusations and gives investors a signal about predictable insider activity—though it can also simply be a way for insiders to diversify or raise cash.

Private Acquisition from Issuer financial

"Private Acquisition from Issuer"

FAQ

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

How many RBRK shares does the John and Sandra Thompson Trust propose to sell?

The notice lists 5,000 Rubrik common shares for sale by the John and Sandra Thompson Trust, with an aggregate market value of $620,750.00 and an approximate sale date of November 2, 2026.

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

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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 AND SANDRA THOMPSON TRUST
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	5000	620750.00	167367143	11/02/2026	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	02/26/2014	Private Acquisition from Issuer	Issuer			5000	02/26/2014	N/A

* 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	10/01/2026	2500	289191.00
10b5-1 Sales for JOHN W THOMPSON 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	10/01/2026	11000	1272602.10
10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	09/01/2026	2500	222596.25
10b5-1 Sales for JOHN W THOMPSON 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	09/01/2026	11000	979347.60
10b5-1 Sales for JOHN AND SANDRA THOMPSON TRUST 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	08/03/2026	2500	185277.25
10b5-1 Sales for JOHN W THOMPSON 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	08/03/2026	11000	815107.70

144: Remarks and Signature

Remarks
Date of Notice	11/02/2026
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)