Form 4 for PUBM PubMatic, Inc.
Accepted 2022-06-03 00:00:00 ET · period of report 2022-06-01 · accession 0001209191-22-034270 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-06-03 | 2022-06-01 | PUBM | Chow Thomas C. | GC, Sec | M - OptEx | $2.49 | +5,756 | 4,697 | New | +$14.3K |
| DM | 2022-06-03 | 2022-06-01 | PUBM | Chow Thomas C. | GC, Sec | S - Sale+OE | $20.32 | -7,006 | 8,557 | -45% | -$142.4K |
| DM | 2022-06-03 | 2022-06-01 | PUBM | Chow Thomas C. | GC, Sec | M - OptEx | $0.00 | -5,756 | 8,958 | -39% | $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 | 2022-06-01 | M | A | 4,166 | $2.16 | 9,807 | D | — | — | (F1) Includes 1,250 shares of Class A Common Stock that were acquired by the Reporting Person on May 31, 2022 pursuant to the Issuer's employee stock purchase plan. |
| 2 | Common | Class A Common Stock | 2022-06-01 | M | A | 944 | $2.97 | 5,641 | D | — | — | (F1) Includes 1,250 shares of Class A Common Stock that were acquired by the Reporting Person on May 31, 2022 pursuant to the Issuer's employee stock purchase plan. |
| 3 | Common | Class A Common Stock | 2022-06-01 | M | A | 646 | $3.89 | 4,697 | D | — | — | (F1) Includes 1,250 shares of Class A Common Stock that were acquired by the Reporting Person on May 31, 2022 pursuant to the Issuer's employee stock purchase plan. |
| 4 | Common | Class A Common Stock | 2022-06-01 | S | D | 5,756 | $20.28 | 2,801 | D | — | — | (F3) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.25 to $20.385 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. |
| 5 | Common | Class A Common Stock | 2022-06-01 | S | D | 1,250 | $20.50 | 8,557 | D | — | — | (F2) These securities were acquired by the Reporting Person on May 31, 2021 pursuant to the Issuer's employee stock purchase plan. |
| 6 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2022-06-01 | M | D | 4,166 | $0.00 | 22,922 | D | $2.16 · — to 2030-07-28 | 4,166 Class B Common Stock | (F4) 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. (F7) The option vested as to 1/48 of the total shares on February 1, 2020, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| 7 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2022-06-01 | M | D | 646 | $0.00 | 15,487 | D | $3.89 · — to 2028-08-20 | 646 Class B Common Stock | (F4) 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. (F5) The option vested as to 25% of the total shares on July 10, 2019, and 1/4 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| 8 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2022-06-01 | M | D | 944 | $0.00 | 8,958 | D | $2.97 · — to 2029-05-20 | 944 Class B Common Stock | (F4) 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. (F6) The option vested as to 1/48 of the total shares on February 1, 2019, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |