Form 4/A for PUBM PubMatic, Inc.
Accepted 2022-03-22 00:00:00 ET · period of report 2021-03-19 · accession 0001214659-22-004243 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MAI | 2022-03-22 | 2021-03-19+ | PUBM | CNH Capital Co Ltd | 10% | P - Purchase | $45.33 | +213.1K | 84.5K | New | +$9.66M |
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 | 2021-04-20 | P | A | 18,150 | $47.51 | 710,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 2 | Common | Class A Common Stock | 2021-04-13 | P | A | 1,850 | $55.25 | 691,850 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 3 | Common | Class A Common Stock | 2021-04-21 | P | A | 600 | $48.85 | 85,050 | I See Note | — | — | (F8) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $48.81 to $48.88, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 4 | Common | Class A Common Stock | 2021-04-21 | P | A | 7,860 | $46.62 | 717,860 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 5 | Common | Class A Common Stock | 2021-04-22 | P | A | 10,000 | $46.69 | 95,050 | I See Note | — | — | (F9) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $46.30 to $46.90, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 6 | Common | Class A Common Stock | 2021-05-04 | P | A | 2,140 | $49.82 | 720,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 7 | Common | Class A Common Stock | 2021-05-05 | P | A | 5,000 | $44.60 | 725,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 8 | Common | Class A Common Stock | 2021-05-06 | P | A | 7,000 | $43.01 | 102,050 | I See Note | — | — | (F10) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $42.70 to $43.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 9 | Common | Class A Common Stock | 2021-05-06 | P | A | 3,000 | $44.50 | 105,050 | I See Note | — | — | (F2) Directly held by CNH Capital. |
| 10 | Common | Class A Common Stock | 2021-05-11 | P | A | 2,000 | $36.25 | 107,050 | I See Note | — | — | (F11) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $36.00 to $36.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 11 | Common | Class A Common Stock | 2021-05-11 | P | A | 3,000 | $37.58 | 110,050 | I See Note | — | — | (F12) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.50 to $37.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 12 | Common | Class A Common Stock | 2021-05-12 | P | A | 1,000 | $36.00 | 26,000 | I See Note | — | — | (F3) Directly held by CNH Hospitality. |
| 13 | Common | Class A Common Stock | 2021-05-12 | P | A | 12,141 | $37.56 | 38,141 | I See Note | — | — | (F13) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.30 to $37.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F3) Directly held by CNH Hospitality. |
| 14 | Common | Class A Common Stock | 2021-05-18 | P | A | 1,958 | $32.24 | 112,008 | I See Note | — | — | (F14) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $32.20 to $32.32, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 15 | Common | Class A Common Stock | 2021-05-18 | P | A | 5,042 | $33.97 | 117,050 | I See Note | — | — | (F15) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.40 to $34.35, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 16 | Common | Class A Common Stock | 2021-05-18 | P | A | 3,000 | $34.49 | 120,050 | I See Note | — | — | (F16) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $34.45 to $34.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 17 | Common | Class A Common Stock | 2021-05-19 | P | A | 5,000 | $31.91 | 125,050 | I See Note | — | — | (F2) Directly held by CNH Capital. |
| 18 | Common | Class A Common Stock | 2021-05-20 | P | A | 3,000 | $33.53 | 128,050 | I See Note | — | — | (F17) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.50 to $33.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 19 | Common | Class A Common Stock | 2021-05-20 | P | A | 2,000 | $35.00 | 130,050 | I See Note | — | — | (F18) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $34.80 to $35.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 20 | Common | Class A Common Stock | 2021-05-20 | P | A | 10,000 | $34.29 | 735,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 21 | Common | Class A Common Stock | 2021-05-21 | P | A | 2,000 | $34.68 | 132,050 | I See Note | — | — | (F19) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $34.50 to $35.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |
| 22 | Common | Class A Common Stock | 2021-05-21 | P | A | 3,000 | $34.60 | 738,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 23 | Common | Class A Common Stock | 2021-03-19 | P | A | 10,000 | $48.06 | 10,000 | I See Note | — | — | (F5) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $47.80 to $48.40, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F1) Directly by Granite Holdings Co, Ltd. ("Granite"). CNH Co., Ltd. ("CNH") is a subsidiary of Granite. Each of CNH Capital Co., Ltd. ("CNH Capital") and CNH Hospitality Co., Ltd. ("CNH Hospitality") is a subsidiary of CNH. Duk Ho Cho is the majority shareholder of Granite and chairperson of CNH. Because of the relationships described herein, Mr. Cho may be deemed to beneficially own the securities beneficially owned by Granite, Granite may be deemed to beneficially own the securities beneficially owned by CNH and CNH may be deemed to beneficially own the securities held by each of CNH Capital and CNH Hospitality. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
| 24 | Common | Class A Common Stock | 2021-03-22 | P | A | 5,000 | $52.18 | 15,000 | I See Note | — | — | (F6) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $51.90 to $52.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F1) Directly by Granite Holdings Co, Ltd. ("Granite"). CNH Co., Ltd. ("CNH") is a subsidiary of Granite. Each of CNH Capital Co., Ltd. ("CNH Capital") and CNH Hospitality Co., Ltd. ("CNH Hospitality") is a subsidiary of CNH. Duk Ho Cho is the majority shareholder of Granite and chairperson of CNH. Because of the relationships described herein, Mr. Cho may be deemed to beneficially own the securities beneficially owned by Granite, Granite may be deemed to beneficially own the securities beneficially owned by CNH and CNH may be deemed to beneficially own the securities held by each of CNH Capital and CNH Hospitality. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
| 25 | Common | Class A Common Stock | 2021-03-23 | P | A | 2,000 | $47.32 | 632,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 26 | Common | Class A Common Stock | 2021-03-25 | P | A | 5,000 | $46.26 | 637,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 27 | Common | Class A Common Stock | 2021-03-29 | P | A | 20,000 | $46.00 | 657,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 28 | Common | Class A Common Stock | 2021-04-06 | P | A | 23,000 | $55.04 | 680,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 29 | Common | Class A Common Stock | 2021-04-12 | P | A | 10,000 | $54.01 | 690,000 | I See Note | — | — | (F4) Directly held by Duk Ho Cho. |
| 30 | Common | Class A Common Stock | 2021-04-21 | P | A | 29,400 | $48.15 | 84,450 | I See Note | — | — | (F7) The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $47.80 to $48.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range. (F2) Directly held by CNH Capital. |