Form 4 for PUBM PubMatic, Inc.
Accepted 2021-11-10 00:00:00 ET · period of report 2021-11-08 · accession 0001833508-21-000018 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-10 | 2021-11-08+ | PUBM | Goel Amar K. | Chief Innovation Off, Dir, 10% | C - Cnv Deriv | $0.00 | +42.8K | 6,328 | New | $0 |
| DMI | 2021-11-10 | 2021-11-08+ | PUBM | Goel Amar K. | Chief Innovation Off, Dir, 10% | S - Sale | $30.12 | -42.8K | 0 | -100% | -$1.29M |
| DMI | 2021-11-10 | 2021-11-08+ | PUBM | Goel Amar K. | Chief Innovation Off, Dir, 10% | C - Cnv Deriv | $0.00 | -42.8K | 650.7K | -6% | $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 | 2021-11-08 | C | A | 8,680 | $0.00 | 8,680 | I By Marais Irrevocable Trust | — | — | (F1) These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 2 | Common | Class A Common Stock | 2021-11-09 | S | D | 6,328 | $30.51 | 0 | I By Birchwood Trust | — | — | (F18) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.77, 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 in this footnote 18 to this Form 4. (F7) These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 3 | Common | Class A Common Stock | 2021-11-08 | S | D | 8,680 | $30.01 | 0 | I By Marais Irrevocable Trust | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.15, 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 in this footnote 3 to this Form 4. (F1) These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 4 | Common | Class A Common Stock | 2021-11-08 | C | A | 6,700 | $0.00 | 6,700 | I By Tuscan Irrevocable Trust | — | — | (F4) These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. |
| 5 | Common | Class A Common Stock | 2021-11-08 | S | D | 6,700 | $30.01 | 0 | I By Tuscan Irrevocable Trust | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.16, 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 in this footnote 6 to this Form 4. (F4) These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. |
| 6 | Common | Class A Common Stock | 2021-11-08 | C | A | 13,772 | $0.00 | 13,772 | I By Birchwood Trust | — | — | (F7) These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 7 | Common | Class A Common Stock | 2021-11-08 | S | D | 13,772 | $30.01 | 0 | I By Birchwood Trust | — | — | (F9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.08, 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 in this footnote 9 to this Form 4. (F7) These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 8 | Common | Class A Common Stock | 2021-11-08 | C | A | 2,400 | $0.00 | 2,400 | I By RAJN Trust - A | — | — | (F10) These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 9 | Common | Class A Common Stock | 2021-11-08 | S | D | 2,400 | $30.00 | 0 | I By RAJN Trust - A | — | — | (F12) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.03, 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 in this footnote 12 to this Form 4. (F10) These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 10 | Common | Class A Common Stock | 2021-11-08 | C | A | 2,200 | $0.00 | 2,200 | I By RAJN Trust - N | — | — | (F13) These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 11 | Common | Class A Common Stock | 2021-11-08 | S | D | 2,200 | $30.00 | 0 | I By RAJN Trust - N | — | — | (F15) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.03, 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 in this footnote 15 to this Form 4. (F13) These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 12 | Common | Class A Common Stock | 2021-11-09 | C | A | 1,200 | $0.00 | 1,200 | I By Marais Irrevocable Trust | — | — | (F1) These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 13 | Common | Class A Common Stock | 2021-11-09 | S | D | 1,200 | $30.63 | 0 | I By Marais Irrevocable Trust | — | — | (F16) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $30.77, 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 in this footnote 16 to this Form 4. (F1) These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 14 | Common | Class A Common Stock | 2021-11-09 | C | A | 1,500 | $0.00 | 1,500 | I By Tuscan Irrevocable Trust | — | — | (F4) These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. |
| 15 | Common | Class A Common Stock | 2021-11-09 | S | D | 1,500 | $30.65 | 0 | I By Tuscan Irrevocable Trust | — | — | (F17) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.45 to $30.77, 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 in this footnote 17 to this Form 4. (F4) These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. |
| 16 | Common | Class A Common Stock | 2021-11-09 | C | A | 6,328 | $0.00 | 6,328 | I By Birchwood Trust | — | — | (F7) These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. |
| 17 | Derivative | Class B Common Stock | 2021-11-08 | C | D | 1,500 | $0.00 | 975,000 | I By Tuscan Irrevocable Trust | — · — to — | 1,500 Class A Common Stock | (F4) These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. (F19) 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. |
| 18 | Derivative | Class B Common Stock | 2021-11-09 | C | D | 6,328 | $0.00 | 1,410,836 | I By Birchwood Trust | — · — to — | 6,328 Class A Common Stock | (F7) These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. (F19) 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. |
| 19 | Derivative | Class B Common Stock | 2021-11-09 | C | D | 1,200 | $0.00 | 975,000 | I By Marais Irrevocable Trust | — · — to — | 1,200 Class A Common Stock | (F1) These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. (F19) 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. |
| 20 | Derivative | Class B Common Stock | 2021-11-08 | C | D | 8,680 | $0.00 | 976,200 | I By Marais Irrevocable Trust | — · — to — | 8,680 Class A Common Stock | (F1) These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. (F19) 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. |
| 21 | Derivative | Class B Common Stock | 2021-11-08 | C | D | 6,700 | $0.00 | 976,500 | I By Tuscan Irrevocable Trust | — · — to — | 6,700 Class A Common Stock | (F4) These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. (F19) 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. |
| 22 | Derivative | Class B Common Stock | 2021-11-08 | C | D | 13,772 | $0.00 | 1,417,164 | I By Birchwood Trust | — · — to — | 13,772 Class A Common Stock | (F7) These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. (F19) 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. |
| 23 | Derivative | Class B Common Stock | 2021-11-08 | C | D | 2,400 | $0.00 | 650,652 | I By RAJN Trust - A | — · — to — | 2,400 Class A Common Stock | (F10) These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. (F19) 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. |
| 24 | Derivative | Class B Common Stock | 2021-11-08 | C | D | 2,200 | $0.00 | 650,652 | I By RAJN Trust - N | — · — to — | 2,200 Class A Common Stock | (F13) These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. (F19) 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. |