Filing Details
- Accession Number:
- 0001209191-20-062999
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-11 17:06:20
- Reporting Period:
- 2020-12-11
- Accepted Time:
- 2020-12-11 17:06:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1422930 | Pubmatic Inc. | PUBM | Services-Computer Programming, Data Processing, Etc. (7370) | 205863224 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1833508 | K. Amar Goel | C/O Pubmatic, Inc. 3 Lagoon Drive, Suite 180 Redwood City CA 94065 | Chairman, Chief Growth Officer | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-12-11 | 333,350 | $0.00 | 333,350 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-12-11 | 333,350 | $20.00 | 0 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-12-11 | 166,650 | $0.00 | 166,650 | No | 4 | C | Indirect | See footnote |
| Class A Common Stock | Disposition | 2020-12-11 | 166,650 | $20.00 | 0 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-12-11 | 143,750 | $0.00 | 143,750 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-12-11 | 189,600 | $0.00 | 189,600 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-12-11 | 333,350 | $0.00 | 333,350 | $0.00 |
| Class B Common Stock | Stock Option (Right to buy Class B Common Stock) | Disposition | 2020-12-11 | 143,750 | $0.00 | 143,750 | $2.15 |
| Class B Common Stock | Stock Option (Right to buy Class B Common Stock) | Disposition | 2020-12-11 | 189,600 | $0.00 | 189,600 | $3.89 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-12-11 | 166,650 | $0.00 | 166,650 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 143,750 | No | 4 | M | Direct | ||
| 333,350 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 6,250 | 2027-05-21 | No | 4 | M | Direct | |
| 75,400 | 2028-03-13 | No | 4 | M | Direct | |
| 1,473,336 | No | 4 | C | Indirect |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 1,000,000 | 1,000,000 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 1,000,000 | 1,000,000 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 1,321,304 | 1,321,304 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,000,000 | 1,000,000 | Indirect | |
| 1,000,000 | 1,000,000 | Indirect | |
| 1,321,304 | 1,321,304 | Indirect |
Footnotes
- Each share of Class B common stock held by the Issuer's executive officers, directors and their respective affiliates will convert automatically into one share of Class A common stock upon any transfer that occurs after the closing of the Issuer's initial public offering, except for certain permitted transfers.
- These shares are held by The Birchwood Trust, of which the Reporting Person and his spouse are trustees and beneficiaries.
- The option vests as to 1/48 of the total shares on March 1, 2017, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- The option vests as to 1/48 of the total shares on February 1, 2018, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
- These shares are held by the RAJN Trust, of which the Reporting Person's children are beneficiaries. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Billionaire Hedge Funds
