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Filing Details

Accession Number:: 0001834012-21-000012
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-30 20:33:22
Reporting Period:: 2021-11-26

Accepted Time:: 2021-11-30 20:33:22
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2021-11-26	66,882	$0.00	66,882	No	4	C	Direct
Class A Common Stock	Disposition	2021-11-26	38,604	$37.45	28,278	No	4	S	Direct
Class A Common Stock	Disposition	2021-11-26	25,678	$38.26	2,600	No	4	S	Direct
Class A Common Stock	Disposition	2021-11-26	2,600	$39.06	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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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	2021-11-26	9,792	$0.00	9,792	$2.16
Class B Common Stock	Stock Option (Right to buy Class B Common Stock)	Disposition	2021-11-26	38,867	$0.00	38,867	$3.89
Class B Common Stock	Stock Option (Right to buy Class B Common Stock)	Disposition	2021-11-26	18,223	$0.00	18,223	$2.97
Class A Common Stock	Class B Common Stock	Acquisiton	2021-11-26	66,882	$0.00	66,882	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2021-11-26	66,882	$0.00	66,882	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
30,208	2030-07-28	No	4	M	Direct
16,133	2028-08-20	No	4	M	Direct
21,777	2029-05-20	No	4	M	Direct
66,882		No	4	M	Direct
0		No	4	C	Direct

Footnotes

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $36.81 to $37.80, 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 2 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $37.81 to $38.80, 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 in prices ranging from $38.83 to $39.35, 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 4 to this Form 4.
The option vested as to 1/48 of the total shares on February 1, 2020, and 1/48 of the total shares vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
The option vested as to 25% of the total shares on July 10, 2019, and 1/4 of the total shares vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
The option vested as to 1/48 of the total shares on February 1, 2019, and 1/48 of the total shares 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.