Form 4 for PUBM PubMatic, Inc.
Accepted 2021-12-03 00:00:00 ET · period of report 2021-12-01 · accession 0000899243-21-046836 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-12-03 | 2021-12-01 | PUBM | GUPTA NARENDRA | Dir | C - Cnv Deriv | — | +1.99M | 1.99M | New | — |
| DI | 2021-12-03 | 2021-12-01 | PUBM | GUPTA NARENDRA | Dir | J - Other | — | -1.99M | 0 | -100% | — |
| DMI | 2021-12-03 | 2021-12-01 | PUBM | GUPTA NARENDRA | Dir | J - Other | $0.00 | -118.5K | 2.06M | -5% | $0 |
| DI | 2021-12-03 | 2021-12-01 | PUBM | GUPTA NARENDRA | Dir | C - Cnv Deriv | $0.00 | -1.99M | 633.5K | -76% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A common stock | 2021-12-01 | C | A | 1,991,371 | — | 1,991,371 | I See Footnote | — | — | (F2) 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. (F3) These securities are held by Nexus India Capital I, L.P. (Nexus Capital). The sole general partner of Nexus Capital is Nexus India Management I, L.P. (Nexus Management), and the sole general partner of Nexus Management is Nexus India Master Management I, Ltd. (Nexus Master). The Reporting Person holds sole voting, and investment power in Nexus Master, and thus may be deemed to hold sole voting and investment power over these shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. |
| 2 | Common | Class A common stock | 2021-12-01 | J | D | 1,991,371 | — | 0 | I See Footnote | — | — | (F1) Represents a pro-rata in-kind distribution of Class A common stock and Class B common stock, and not a purchase or sale, without additional consideration to its partners. (F3) These securities are held by Nexus India Capital I, L.P. (Nexus Capital). The sole general partner of Nexus Capital is Nexus India Management I, L.P. (Nexus Management), and the sole general partner of Nexus Management is Nexus India Master Management I, Ltd. (Nexus Master). The Reporting Person holds sole voting, and investment power in Nexus Master, and thus may be deemed to hold sole voting and investment power over these shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. |
| 3 | Derivative | Class B common stock | 2021-12-01 | J | D | 633,472 | $0.00 | 0 | I See Footnote | — · — to — | 633,472 Class A common stock | (F3) These securities are held by Nexus India Capital I, L.P. (Nexus Capital). The sole general partner of Nexus Capital is Nexus India Management I, L.P. (Nexus Management), and the sole general partner of Nexus Management is Nexus India Master Management I, Ltd. (Nexus Master). The Reporting Person holds sole voting, and investment power in Nexus Master, and thus may be deemed to hold sole voting and investment power over these shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. (F2) 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. |
| 4 | Derivative | Class B common stock | 2021-12-01 | J | A | 514,992 | $0.00 | 2,057,572 | I See Footnote | — · — to — | 514,992 Class A common stock | (F5) These securities are held by the Naren & Vinita Gupta Living Trust, Dated 12/2/94. (F2) 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. |
| 5 | Derivative | Class B common stock | 2021-12-01 | C | D | 1,991,371 | $0.00 | 633,472 | I See Footnote | — · — to — | 1,991,371 Class A common stock | (F3) These securities are held by Nexus India Capital I, L.P. (Nexus Capital). The sole general partner of Nexus Capital is Nexus India Management I, L.P. (Nexus Management), and the sole general partner of Nexus Management is Nexus India Master Management I, Ltd. (Nexus Master). The Reporting Person holds sole voting, and investment power in Nexus Master, and thus may be deemed to hold sole voting and investment power over these shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. (F2) 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. |