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Filing Details

Accession Number:: 0001833508-21-000010
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-08-16 18:02:08
Reporting Period:: 2021-08-12

Accepted Time:: 2021-08-16 18:02:08
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	Chief Innovation Officer	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2021-08-12	8,000	$0.00	8,000	No	4	C	Indirect	By Birchwood Trust
Class A Common Stock	Disposition	2021-08-12	4,448	$31.56	3,552	No	4	S	Indirect	By Birchwood Trust
Class A Common Stock	Disposition	2021-08-12	3,352	$32.50	200	No	4	S	Indirect	By Birchwood Trust
Class A Common Stock	Disposition	2021-08-12	200	$33.32	0	No	4	S	Indirect	By Birchwood Trust
Class A Common Stock	Acquisiton	2021-08-12	5,000	$0.00	5,000	No	4	C	Indirect	By Marais Irrevocable Trust
Class A Common Stock	Disposition	2021-08-12	2,921	$31.57	2,079	No	4	S	Indirect	By Marais Irrevocable Trust
Class A Common Stock	Disposition	2021-08-12	1,879	$32.50	200	No	4	S	Indirect	By Marais Irrevocable Trust
Class A Common Stock	Disposition	2021-08-12	200	$33.35	0	No	4	S	Indirect	By Marais Irrevocable Trust
Class A Common Stock	Acquisiton	2021-08-12	5,000	$0.00	5,000	No	4	C	Indirect	By Tuscan Irrevocable Trust
Class A Common Stock	Disposition	2021-08-12	2,844	$31.56	2,156	No	4	S	Indirect	By Tuscan Irrevocable Trust
Class A Common Stock	Disposition	2021-08-12	1,956	$32.50	200	No	4	S	Indirect	By Tuscan Irrevocable Trust
Class A Common Stock	Disposition	2021-08-12	200	$33.35	0	No	4	S	Indirect	By Tuscan Irrevocable Trust
Class A Common Stock	Acquisiton	2021-08-12	2,000	$0.00	2,000	No	4	C	Indirect	By RAJN Trust - A
Class A Common Stock	Disposition	2021-08-12	975	$31.52	1,025	No	4	S	Indirect	By RAJN Trust - A
Class A Common Stock	Disposition	2021-08-12	925	$32.49	100	No	4	S	Indirect	By RAJN Trust - A
Class A Common Stock	Disposition	2021-08-12	100	$33.35	0	No	4	S	Indirect	By RAJN Trust - A
Class A Common Stock	Acquisiton	2021-08-12	2,000	$0.00	2,000	No	4	C	Indirect	By RAJN Trust - N
Class A Common Stock	Disposition	2021-08-12	1,200	$31.66	800	No	4	S	Indirect	By RAJN Trust - N
Class A Common Stock	Disposition	2021-08-12	800	$32.67	0	No	4	S	Indirect	By RAJN Trust - N

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By Birchwood Trust
No	4	S	Indirect	By Birchwood Trust
No	4	S	Indirect	By Birchwood Trust
No	4	S	Indirect	By Birchwood Trust
No	4	C	Indirect	By Marais Irrevocable Trust
No	4	S	Indirect	By Marais Irrevocable Trust
No	4	S	Indirect	By Marais Irrevocable Trust
No	4	S	Indirect	By Marais Irrevocable Trust
No	4	C	Indirect	By Tuscan Irrevocable Trust
No	4	S	Indirect	By Tuscan Irrevocable Trust
No	4	S	Indirect	By Tuscan Irrevocable Trust
No	4	S	Indirect	By Tuscan Irrevocable Trust
No	4	C	Indirect	By RAJN Trust - A
No	4	S	Indirect	By RAJN Trust - A
No	4	S	Indirect	By RAJN Trust - A
No	4	S	Indirect	By RAJN Trust - A
No	4	C	Indirect	By RAJN Trust - N
No	4	S	Indirect	By RAJN Trust - N
No	4	S	Indirect	By RAJN Trust - N

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class B Common Stock	Disposition	2021-08-12	8,000	$0.00	8,000	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2021-08-12	5,000	$0.00	5,000	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2021-08-12	5,000	$0.00	5,000	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2021-08-12	2,000	$0.00	2,000	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2021-08-12	2,000	$0.00	2,000	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,434,836	No	4	C	Indirect
990,000	No	4	C	Indirect
990,000	No	4	C	Indirect
656,652	No	4	C	Indirect
656,652	No	4	C	Indirect

Footnotes

These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust on March 4, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.14 to $32.10, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.14 to $32.90, 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 4 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.28 to $33.35, 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 5 to this Form 4.
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.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust on March 4, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.13 to $32.10, 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 8 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.15 to $32.89, 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 9 to this Form 4.
These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust on March 4, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.13 to $32.10, 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 12 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.15 to $32.84, 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 13 to this Form 4.
These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children 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.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A on March 4, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.15 to $31.92, 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 16 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.15 to $32.75, 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 17 to this Form 4.
These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children 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.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N on March 4, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.16 to $32.15, 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 20 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.36 to $33.35, 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 21 to this Form 4.
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.