Filing Details
- Accession Number:
- 0001209191-23-057653
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-06 17:21:19
- Reporting Period:
- 2023-12-04
- Accepted Time:
- 2023-12-06 17:21:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1833511 | K. Rajeev Goel | C/O Pubmatic, Inc. 601 Marshall Street Redwood City CA 94063 | Chief Executive 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 | 2023-12-04 | 16,500 | $0.00 | 16,500 | No | 4 | C | Indirect | See footnote |
| Class A Common Stock | Disposition | 2023-12-04 | 7,500 | $17.14 | 9,000 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2023-12-04 | 9,000 | $0.00 | 0 | No | 4 | G | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | G | 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 | Disposition | 2023-12-04 | 16,500 | $0.00 | 16,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 448,013 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 66,496 | Direct |
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 | 581,260 | 581,260 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 400,000 | 400,000 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 68,616 | 68,616 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 308,775 | 308,775 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 308,775 | 308,775 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 210,984 | 210,984 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 581,260 | 581,260 | Indirect | |
| 400,000 | 400,000 | Indirect | |
| 68,616 | 68,616 | Indirect | |
| 308,775 | 308,775 | Indirect | |
| 308,775 | 308,775 | Indirect | |
| 210,984 | 210,984 | Direct |
Footnotes
- These securities are held by The Goel Family 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 Goel Family Trust on March 1, 2023.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.06 to $17.24 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.
- 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.
- These securities are held by The Goel Heritage 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.
- These securities are held by The Goel Family Gift Trust, of which family members and certain other individuals 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.
- These securities are held by a trust for the benefit of the Reporting Person's child. 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
