Form 4 for PUBM PubMatic, Inc.
Accepted 2024-02-28 00:00:00 ET · period of report 2024-02-27 · accession 0001415889-24-005782 · 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 | 2024-02-28 | 2024-02-27 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | +93.3K | 93.3K | New | $0 |
| DMI | 2024-02-28 | 2024-02-27 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | S - Sale | $20.70 | -98.6K | 7,500 | -93% | -$2.04M |
| DM | 2024-02-28 | 2024-02-27 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | M - OptEx | $0.00 | 0 | 304.3K | New | $0 |
| D | 2024-02-28 | 2024-02-27 | PUBM | Goel Rajeev K. | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -93.3K | 211.0K | -31% | $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 | 2024-02-27 | C | A | 93,270 | $0.00 | 93,270 | I See footnote | — | — | (F1) 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 that occurs after the closing of the Issuer's initial public offering, except for certain permitted transfers. (F2) Reflects the transfer of 93,270 shares of Class A Common Stock by the Reporting Person to the Goel Family Trust upon conversion. (F3) These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 2 | Common | Class A Common Stock | 2024-02-27 | S | D | 64,257 | $20.44 | 41,843 | I See footnote | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.995, 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. (F6) Reflects the transfer of 12,830 shares of Class A Common Stock by the Reporting Person to the Goel Family Trust. (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 | 2024-02-27 | S | D | 34,343 | $21.19 | 7,500 | I See footnote | — | — | (F7) Represents the weighted average sale price. The lowest price at which shares were sold was $21.00 and the highest price at which shares were sold was $21.53. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total 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. |
| 4 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2024-02-27 | M | D | 93,270 | $0.00 | 637,475 | D | $1.11 · — to 2026-07-07 | 93,270 Class B Common Stock | (F8) The options are fully vested. |
| 5 | Derivative | Class B Common Stock | 2024-02-27 | C | D | 93,270 | $0.00 | 210,984 | D | — · — to — | 93,270 Class A Common Stock | (F1) 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 that occurs after the closing of the Issuer's initial public offering, except for certain permitted transfers. |
| 6 | Derivative | Class B Common Stock | 2024-02-27 | M | A | 93,270 | $0.00 | 304,254 | D | — · — to — | 93,270 Class A Common Stock | (F1) 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 that occurs after the closing of the Issuer's initial public offering, except for certain permitted transfers. |