[144] Rubrik, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Rubrik, Inc. (RBRK) reports a proposed sale of 21,000 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $1,575,000, and an approximate sale date of 09/17/2025. The filing lists that 12,000 shares were acquired by exercise of stock options on 09/17/2025 (paid in cash) and 9,000 shares were issued as restricted stock units on 04/25/2024. The form also discloses periodic 10b5-1 plan sales totaling 21,000 shares during the past three months, with gross proceeds listed for each trade. The filer certifies they are unaware of undisclosed material adverse information.

Positive

• Full disclosure of sale mechanics including broker name, share counts, and aggregate market value
• Use of 10b5-1 plans for prior sales, which indicates prearranged trading instructions and procedural compliance
• Acquisition details provided (option exercise and RSU grant dates) clarifying how the shares were obtained

Negative

• Substantial share dispositions totaling 21,000 shares and $1,575,000 in aggregate value may represent meaningful insider selling pressure
• Relationship to issuer not specified in the provided sections, leaving the filer’s insider status unclear

Insights

Securities Analyst

TL;DR Proposed sale of 21,000 RBRK shares via broker; recent 10b5-1 sales total same amount in prior months.

The filing documents a proposed public sale of 21,000 common shares through Morgan Stanley Smith Barney LLC valued at $1,575,000, with acquisition details showing both option exercise and RSU issuance. The record of multiple 10b5-1 sales in the prior three months quantifies recent disposition activity and provides transparency on execution method and proceeds. This is a routine insider sale notice rather than a corporate operating disclosure.

Compliance / Risk Analyst

TL;DR Use of a broker and 10b5-1 entries suggests compliant, prearranged disposition; filer affirms no undisclosed material information.

The form contains required compliance elements: broker identification, detailed acquisition dates, payment method, and historical 10b5-1 sales with gross proceeds. The filer signs the standard attestation regarding material nonpublic information. There are no disclosures here about issuer financials, regulatory issues, or governance changes that would indicate elevated compliance risk beyond the sales themselves.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	21000	1575000.00	142085609	09/17/2025	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	09/17/2025	Exercise of Stock Options	Issuer			12000	09/17/2025	Cash
Common	04/25/2024	Restricted Stock Units	Issuer			9000	04/25/2024	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 KIRAN KUMAR CHOUDARY 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	09/03/2025	3500	308910.00
10b5-1 Sales for KIRAN KUMAR CHOUDARY 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	08/20/2025	3500	290255.00
10b5-1 Sales for KIRAN KUMAR CHOUDARY 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	08/06/2025	3500	309295.00
10b5-1 Sales for KIRAN KUMAR CHOUDARY 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	07/23/2025	3500	293650.00
10b5-1 Sales for KIRAN KUMAR CHOUDARY 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	07/09/2025	3500	306390.00
10b5-1 Sales for KIRAN KUMAR CHOUDARY 3495 DEER CREEK ROAD Palo Alto CA 94304	Common	06/25/2025	3500	318500.00

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed for RBRK report?

The filing reports a proposed sale of 21,000 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $1,575,000 and an approximate sale date of 09/17/2025.

How were the 21,000 shares acquired according to the filing?

12,000 shares were acquired by exercise of stock options on 09/17/2025 (paid in cash) and 9,000 shares were issued as restricted stock units on 04/25/2024.

Does the filing show recent sales of the issuer’s stock by the filer?

Yes. The filing lists six 10b5-1 sales in the past three months, each of 3,500 shares, with gross proceeds reported for each trade.

Which broker is handling the proposed sale?

Morgan Stanley Smith Barney LLC Executive Financial Services (1 New York Plaza, 8th Floor, New York, NY 10004) is named as the broker.

Did the filer make any attestation about material nonpublic information?

Yes. The filer signs the standard representation that they do not know any material adverse information about the issuer that has not been publicly disclosed.

What payment methods were used for acquiring the securities?

Cash was used for the option exercise on 09/17/2025; the RSUs from 04/25/2024 show payment as N/A (standard for grants).