Form 4 for PUBM PubMatic, Inc.
Accepted 2023-10-03 00:00:00 ET · period of report 2023-10-01 · accession 0001209191-23-051769 · 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 | 2023-10-03 | 2023-10-03 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | +7,500 | 7,500 | New | $0 |
| D | 2023-10-03 | 2023-10-02 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | S - Sale+OE | $11.82 | -17.9K | 66.5K | -21% | -$211.5K |
| D | 2023-10-03 | 2023-10-01 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | M - OptEx | $0.00 | +34.3K | 84.4K | +68% | $0 |
| DI | 2023-10-03 | 2023-10-03 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | S - Sale+OE | $11.75 | -7,500 | 0 | -100% | -$88.1K |
| DM | 2023-10-03 | 2023-10-01 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | M - OptEx | $0.00 | -34.3K | 101.1K | -25% | $0 |
| DI | 2023-10-03 | 2023-10-03 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -7,500 | 472.0K | -2% | $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 | 2023-10-03 | C | A | 7,500 | $0.00 | 7,500 | I | — | — | |
| 2 | Common | Class A Common Stock | 2023-10-02 | S | D | 17,893 | $11.82 | 66,496 | D See footnote | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.87 to $12.08, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder 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 herein. (F3) These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 3 | Common | Class A Common Stock | 2023-10-01 | M | A | 34,280 | $0.00 | 84,389 | D See footnote | — | — | (F3) These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 4 | Common | Class A Common Stock | 2023-10-03 | S | D | 7,500 | $11.75 | 0 | I | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.63 to $11.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder 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 herein. |
| 5 | Derivative | Restricted Stock Unit | 2023-10-01 | M | D | 23,043 | $0.00 | 299,552 | D | $0.00 · — to — | 23,043 Class A Common Stock | (F6) Each RSU represents a right to receive one share of the Issuer's Class A Common Stock at the time of settlement for no consideration. (F9) The RSUs vested as to 1/16th of the total shares on April 1, 2023, and 1/16th of the total shares will vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. (F8) RSUs do not expire; they either vest or are canceled prior to the vesting date. |
| 6 | Derivative | Restricted Stock Unit | 2023-10-01 | M | D | 11,237 | $0.00 | 101,128 | D See footnote | $0.00 · — to — | 11,237 Class A Common Stock | (F3) These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries. (F6) Each RSU represents a right to receive one share of the Issuer's Class A Common Stock at the time of settlement for no consideration. (F7) The RSUs vested as to 1/16th of the total shares on April 1, 2022, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. (F8) RSUs do not expire; they either vest or are canceled prior to the vesting date. |
| 7 | Derivative | Class B Common Stock | 2023-10-03 | C | D | 7,500 | $0.00 | 472,013 | I | — · — to — | 7,500 Class A Common Stock | (F10) 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. |