Filing Details
- Accession Number:
- 0001834012-21-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-03 11:43:43
- Reporting Period:
- 2021-06-01
- Accepted Time:
- 2021-06-03 11:43:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1834012 | C. Thomas Chow | C/O Pubmatic, Inc. 3 Lagoon Drive, Suite 180 Redwood City CA 94065 | General Counsel And Secretary | No | Yes | No | 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 | 2021-06-01 | 15,000 | $0.00 | 16,866 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2021-06-01 | 16,866 | $30.07 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Stock Option (Right to buy Class B Common Stock) | Disposition | 2021-06-01 | 15,000 | $0.00 | 15,000 | $3.89 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-01 | 15,000 | $0.00 | 15,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-06-01 | 15,000 | $0.00 | 15,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 60,000 | 2028-08-20 | No | 4 | M | Direct | |
| 15,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Includes 1,866 shares of the Issuer's Class A common stock acquired on May 28, 2021 pursuant to the Issuer's Employee Stock Purchase Plan.
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $29.97 to $30.16, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 3 to this Form 4.
- The option vests as to 25% of the total shares on July 10, 2019, and 1/4 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- 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, except for certain permitted transfers.
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