Form 4 for PUBM PubMatic, Inc.
Accepted 2021-07-02 00:00:00 ET · period of report 2021-06-30 · accession 0001834185-21-000008 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-07-02 | 2021-07-01 | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | C - Cnv Deriv | $0.00 | +5,000 | 7,613 | +191% | $0 |
| DM | 2021-07-02 | 2021-07-01+ | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | S - Sale+OE | $36.95 | -6,094 | 1,519 | -80% | -$225.2K |
| D | 2021-07-02 | 2021-06-30 | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | M - OptEx | $0.00 | +2,613 | 2,613 | New | $0 |
| D | 2021-07-02 | 2021-07-01 | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | C - Cnv Deriv | $0.00 | -5,000 | 0 | -100% | $0 |
| DM | 2021-07-02 | 2021-06-30+ | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | M - OptEx | $0.00 | -2,613 | 5,000 | -34% | $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 | 2021-07-01 | C | A | 5,000 | $0.00 | 7,613 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-07-01 | S | D | 3,600 | $36.92 | 4,013 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.61 to $37.56, 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 2 to this Form 4. |
| 3 | Common | Class A Common Stock | 2021-06-30 | M | A | 2,613 | $0.00 | 2,613 | D | — | — | |
| 4 | Common | Class A Common Stock | 2021-07-01 | S | D | 200 | $39.42 | 2,613 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.40 to $39.43, 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 4 to this Form 4. |
| 5 | Common | Class A Common Stock | 2021-07-01 | S | D | 1,200 | $38.44 | 2,813 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.94 to $38.91, 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. |
| 6 | Common | Class A Common Stock | 2021-07-02 | S | D | 1,094 | $34.97 | 1,519 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.68 to $35.43, 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 5 to this Form 4. |
| 7 | Derivative | Class B Common Stock | 2021-07-01 | C | D | 5,000 | $0.00 | 0 | D | — · — to — | 5,000 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. |
| 8 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2021-07-01 | M | D | 5,000 | $0.00 | 60,000 | D | $2.97 · — to 2029-05-20 | 5,000 Class B Common Stock | (F9) The options vest as to 1/48 of the total shares on February 1, 2019, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| 9 | Derivative | Restricted Stock Unit | 2021-06-30 | M | D | 2,613 | $0.00 | 18,287 | D | — · — to — | 2,613 Class A Common Stock | (F6) Each restricted stock unit ("RSU") represents a right to receive one share of the Issuer's Class A Common Stock at the time of vesting for no consideration. On January 29, 2021, the Reporting Person was granted 20,900 RSUs. Such RSUs were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on February 2, 2021. (F7) The RSUs vest as to 1/8 of the total shares on June 30, 2021, 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. |
| 10 | Derivative | Class B Common Stock | 2021-07-01 | M | A | 5,000 | $0.00 | 5,000 | D | — · — to — | 5,000 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. |