Filing Details
- Accession Number:
- 0001209191-22-054155
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-10-19 21:44:46
- Reporting Period:
- 2022-10-17
- Accepted Time:
- 2022-10-19 21:44:46
- 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. 601 Marshall Street Redwood City CA 94063 | 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 | 2022-10-17 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By Birchwood Trust |
| Class A Common Stock | Disposition | 2022-10-17 | 8,000 | $17.61 | 0 | No | 4 | S | Indirect | By Birchwood Trust |
| Class A Common Stock | Acquisiton | 2022-10-17 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By Marais Irrevocable Trust |
| Class A Common Stock | Disposition | 2022-10-17 | 8,000 | $17.61 | 0 | No | 4 | S | Indirect | By Marais Irrevocable Trust |
| Class A Common Stock | Acquisiton | 2022-10-17 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By Tuscan Irrevocable Trust |
| Class A Common Stock | Disposition | 2022-10-17 | 8,000 | $17.61 | 0 | No | 4 | S | Indirect | By Tuscan Irrevocable Trust |
| Class A Common Stock | Acquisiton | 2022-10-17 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By RAJN Trust - A |
| Class A Common Stock | Disposition | 2022-10-17 | 8,000 | $17.61 | 0 | No | 4 | S | Indirect | By RAJN Trust - A |
| Class A Common Stock | Acquisiton | 2022-10-17 | 8,000 | $0.00 | 11,000 | No | 4 | C | Indirect | By RAJN Trust - N |
| Class A Common Stock | Disposition | 2022-10-17 | 8,000 | $17.61 | 3,000 | No | 4 | S | Indirect | By RAJN Trust - N |
| Class A Common Stock | Acquisiton | 2022-10-18 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By Birchwood Trust |
| Class A Common Stock | Disposition | 2022-10-18 | 8,000 | $17.70 | 0 | No | 4 | S | Indirect | By Birchwood Trust |
| Class A Common Stock | Acquisiton | 2022-10-18 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By Marais Irrevocable Trust |
| Class A Common Stock | Disposition | 2022-10-18 | 8,000 | $17.69 | 0 | No | 4 | S | Indirect | By Marais Irrevocable Trust |
| Class A Common Stock | Acquisiton | 2022-10-18 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By Tuscan Irrevocable Trust |
| Class A Common Stock | Disposition | 2022-10-18 | 8,000 | $17.69 | 0 | No | 4 | S | Indirect | By Tuscan Irrevocable Trust |
| Class A Common Stock | Acquisiton | 2022-10-18 | 8,000 | $0.00 | 8,000 | No | 4 | C | Indirect | By RAJN Trust - A |
| Class A Common Stock | Disposition | 2022-10-18 | 8,000 | $17.69 | 0 | No | 4 | S | Indirect | By RAJN Trust - A |
| Class A Common Stock | Acquisiton | 2022-10-18 | 8,000 | $0.00 | 11,000 | No | 4 | C | Indirect | By RAJN Trust - N |
| Class A Common Stock | Disposition | 2022-10-18 | 8,000 | $17.69 | 3,000 | 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 | C | 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 | C | 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 | C | 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 | C | 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 | C | Indirect | By RAJN Trust - N |
| No | 4 | S | Indirect | By RAJN Trust - N |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-17 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-17 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-17 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-17 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-17 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-18 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-18 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-18 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-18 | 8,000 | $0.00 | 8,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-10-18 | 8,000 | $0.00 | 8,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,295,636 | No | 4 | C | Indirect | ||
| 815,000 | No | 4 | C | Indirect | ||
| 815,000 | No | 4 | C | Indirect | ||
| 583,652 | No | 4 | C | Indirect | ||
| 580,652 | No | 4 | C | Indirect | ||
| 1,287,636 | No | 4 | C | Indirect | ||
| 807,000 | No | 4 | C | Indirect | ||
| 807,000 | No | 4 | C | Indirect | ||
| 575,652 | No | 4 | C | Indirect | ||
| 572,652 | 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 | 443,414 | 443,414 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 443,414 | 443,414 | Indirect |
Footnotes
- These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.81 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder 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.
- 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust.
- These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust.
- 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.84 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder 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.
- 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.82 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.34 to $18.33 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder 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.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.35 to $18.08 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder 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.
- 3,000 shares of Class A Common Stock held by RAJN Trust - N were inadvertently reported in Forms 4 filed between May 17, 2022 and October 6, 2022 as shares of Class B Common Stock.
- 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.
- These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.
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