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  4. [Form 4] Rubrik, Inc. Insider Trading Activity

Rubrik CFO (NYSE: RBRK) sells shares via 10b5-1 plan after option exercise

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Rubrik, Inc. Chief Financial Officer Choudary Kiran Kumar reported an option exercise, share conversion, and planned share sale. On January 16, 2026, he exercised 5,000 stock options with a $7.99 exercise price, receiving Class B Common Stock that converted into 5,000 Class A Common Shares at $0 per share.

That same day, he sold a total of 20,000 Class A shares in three trades under a Rule 10b5-1 trading plan adopted October 15, 2025, at weighted average prices of $67.34, $68.46, and $69.08 per share. After these transactions, he directly owned 489,959 Class A Common Shares and held 41,450 stock options.

Positive

  • None.

Negative

  • None.
Insider Choudary Kiran Kumar
Role Chief Financial Officer
Sold 20,000 shs ($1.35M)
Type Security Shares Price Value
Exercise Stock Option (Right to Buy) 5,000 $0.00 --
Exercise Class B Common Stock 5,000 $0.00 --
Conversion Class B Common Stock 5,000 $0.00 --
Conversion Class A Common Stock 5,000 $0.00 --
Sale Class A Common Stock 14,373 $67.34 $968K
Sale Class A Common Stock 5,427 $68.46 $372K
Sale Class A Common Stock 200 $69.08 $14K
Holdings After Transaction: Stock Option (Right to Buy) — 41,450 shares (Direct); Class B Common Stock — 5,000 shares (Direct); Class A Common Stock — 509,959 shares (Direct)
Footnotes (1)
  1. This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2025. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.98 to $67.94 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 to $68.99 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.06 to $69.09 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote. 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter. 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 will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 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*
Choudary Kiran Kumar
(Last) (First) (Middle)
C/O RUBRIK INC.
3495 DEER CREEK ROAD
(Street)
PALO ALTO CA 94304
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Rubrik, Inc. [ RBRK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/16/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 01/16/2026 C 5,000 A $0 509,959 D
Class A Common Stock 01/16/2026 S(1) 14,373 D $67.34(2) 495,586 D
Class A Common Stock 01/16/2026 S(1) 5,427 D $68.46(3) 490,159 D
Class A Common Stock 01/16/2026 S(1) 200 D $69.08(4) 489,959 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $7.99 01/16/2026 M 5,000 (5) 09/17/2028 Class B Common Stock 5,000 $0 41,450 D
Class B Common Stock (6) 01/16/2026 M 5,000 (6) (6) Class A Common Stock 5,000 $0 5,000 D
Class B Common Stock (6) 01/16/2026 C 5,000 (6) (6) Class A Common Stock 5,000 $0 0 D
Explanation of Responses:
1. This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted October 15, 2025.
2. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.98 to $67.94 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote.
3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 to $68.99 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote.
4. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.06 to $69.09 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote.
5. 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter.
6. 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 will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.
/s/ Larry Guo, Attorney-in-Fact 01/16/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Rubrik (RBRK) CFO report on this Form 4?

Rubrik’s Chief Financial Officer, Choudary Kiran Kumar, reported exercising 5,000 stock options, converting resulting Class B shares into Class A, and selling 20,000 Class A shares on January 16, 2026.

How many Rubrik (RBRK) shares did the CFO sell and at what prices?

The CFO sold 14,373, 5,427, and 200 Class A shares, totaling 20,000 shares, at weighted average prices of $67.34, $68.46, and $69.08 per share, respectively.

Was the Rubrik CFO’s share sale made under a Rule 10b5-1 trading plan?

Yes. A footnote states the sale reported was effected pursuant to a Rule 10b5-1 trading plan that was adopted on October 15, 2025.

What stock options did the Rubrik CFO exercise in this filing?

He exercised 5,000 Stock Options (Right to Buy) with a $7.99 exercise price, which had been vesting since August 20, 2019, receiving 5,000 shares of Class B Common Stock.

How did the Rubrik CFO’s Class B Common Stock convert into Class A shares?

A footnote explains that each share of Class B Common Stock automatically converts into one Class A share upon sale or transfer, and is also convertible at the holder’s option into Class A on a one-for-one basis.

How many Rubrik shares does the CFO hold after these transactions?

Following the reported transactions, he directly owned 489,959 Class A Common Shares and held 41,450 stock options as derivative securities.

How were the reported Rubrik share sale prices determined?

For each sale group, the reported price is a weighted average price. Footnotes note the shares were sold in multiple trades within price ranges from $66.98 to $69.09 per share.