Form 4 for PUBM PubMatic, Inc.
Accepted 2023-06-02 00:00:00 ET · period of report 2023-05-31 · accession 0001209191-23-033743 · 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 | 2023-06-02 | 2023-05-31 | PUBM | CARLBORG W ERIC | Dir | M - OptEx | $0.00 | +19.3K | 267.7K | +8% | $0 |
| DM | 2023-06-02 | 2023-05-31 | PUBM | CARLBORG W ERIC | Dir | M - OptEx | $0.00 | -19.3K | 0 | -100% | $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 | 2023-05-31 | M | A | 9,062 | $0.00 | 276,811 | D | — | — | |
| 2 | Common | Class A Common Stock | 2023-05-31 | M | A | 3,150 | $0.00 | 279,961 | D | — | — | |
| 3 | Common | Class A Common Stock | 2023-05-31 | M | A | 1,872 | $0.00 | 281,833 | D | — | — | |
| 4 | Common | Class A Common Stock | 2023-05-31 | M | A | 5,194 | $0.00 | 267,749 | D | — | — | |
| 5 | Derivative | Restricted Stock Units | 2023-05-31 | M | D | 5,194 | $0.00 | 0 | D | — · — to — | 5,194 Class A Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. (F2) The RSUs are fully vested. The RSUs will settle upon the earlier of (a) the Reporting Person's death, (b) the Reporting Person's disability, (c) the occurrence of a change in control of the Issuer, and (d) the separation from service of the Reporting Person from the Issuer. (F3) RSUs do not expire; they either vest are are cancelled prior to vesting date. |
| 6 | Derivative | Restricted Stock Units | 2023-05-31 | M | D | 1,872 | $0.00 | 0 | D | — · — to — | 1,872 Class A Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. (F6) The RSUs fully vested on May 31, 2023. The Reporting Person has elected to defer settlement of the RSUs until the earliest to occur of (a) the Reporting Person's death or disability, (b) a change in control of the Issuer, and (c) the Reporting Person's separation of service from the Issuer. Shares of the Issuer's Class A Common Stock will be delivered to the Reporting Person upon settlement of the RSUs. (F3) RSUs do not expire; they either vest are are cancelled prior to vesting date. |
| 7 | Derivative | Restricted Stock Units | 2023-05-31 | M | D | 3,150 | $0.00 | 0 | D | — · — to — | 3,150 Class A Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. (F5) The RSUs are fully vested. The Reporting Person has elected to defer settlement of the RSUs until the earliest to occur of (a) the Reporting Person's death or disability, (b) a change in control of the Issuer, and (c) the Reporting Person's separation of service from the Issuer. Shares of the Issuer's Class A Common Stock will be delivered to the Reporting Person upon settlement of the RSUs. (F3) RSUs do not expire; they either vest are are cancelled prior to vesting date. |
| 8 | Derivative | Restricted Stock Units | 2023-05-31 | M | D | 9,062 | $0.00 | 0 | D | — · — to — | 9,062 Class A Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. (F4) The RSUs vest in full on the earliest to occur of (a) the first anniversary of the grant date, (b) immediately prior to the Issuer's annual meeting of stockholders in 2023, (c) the Reporting Person's death or disability, and (d) a change in control of the Issuer. The Reporting Person has elected to defer settlement of the RSUs until the earliest to occur of (i) the third anniversary of the grant date, (ii) the Reporting Person's death or disability, (iii) a change in control of the Issuer, and (iv) the Reporting Person's separation of service from the Issuer. Shares of the Issuer's Class A Common Stock will be delivered to the Reporting Person upon settlement of the RSUs. (F3) RSUs do not expire; they either vest are are cancelled prior to vesting date. |