Form 4 for PUBM PubMatic, Inc.
Accepted 2021-12-03 00:00:00 ET · period of report 2021-12-01 · accession 0001834185-21-000016 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-12-03 | 2021-12-01+ | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | S - Sale | $40.08 | -20.4K | 19.9K | -51% | -$819.5K |
| D | 2021-12-03 | 2021-12-01 | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | C - Cnv Deriv | $0.00 | +20.0K | 22.5K | +791% | $0 |
| D | 2021-12-03 | 2021-12-01 | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | C - Cnv Deriv | $0.00 | -20.0K | 0 | -100% | $0 |
| DM | 2021-12-03 | 2021-12-01 | PUBM | Hirsch Jeffrey K. | Chief Commercial Off | M - OptEx | $0.00 | 0 | 160.0K | New | $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 | 2021-12-01 | S | D | 1,721 | $37.01 | 20,808 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $36.64 to $37.57, 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. |
| 2 | Common | Class A Common Stock | 2021-12-02 | S | D | 447 | $37.59 | 2,082 | D | — | — | |
| 3 | Common | Class A Common Stock | 2021-12-01 | S | D | 5,787 | $39.97 | 14,142 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $39.24 to $40.20, 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. |
| 4 | Common | Class A Common Stock | 2021-12-01 | S | D | 10,813 | $40.81 | 3,329 | D | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $40.29 to $41.25, 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. |
| 5 | Common | Class A Common Stock | 2021-12-01 | S | D | 800 | $41.34 | 2,529 | D | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $41.31 to $41.55, 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 7 to this Form 4. |
| 6 | Common | Class A Common Stock | 2021-12-01 | C | A | 20,000 | $0.00 | 22,529 | D | — | — | (F1) Includes 447 shares of the Issuer's Class A common stock acquired on November 30, 2021 pursuant the Issuer's Employee Stock Purchase Plan. |
| 7 | Common | Class A Common Stock | 2021-12-01 | S | D | 879 | $37.89 | 19,929 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $37.65 to $38.51, 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. |
| 8 | Derivative | Class B Common Stock | 2021-12-01 | C | D | 20,000 | $0.00 | 0 | D | — · — to — | 20,000 Class A Common Stock | (F11) 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. |
| 9 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2021-12-01 | M | D | 2,331 | $0.00 | 37,669 | D | $2.97 · — to 2029-05-20 | 2,331 Class B Common Stock | (F8) The option vested as to 1/48 of the total shares on February 1, 2019, and 1/48 of the total shares vests monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| 10 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2021-12-01 | M | D | 2,669 | $0.00 | 97,331 | D | $2.16 · — to 2030-07-28 | 2,669 Class B Common Stock | (F9) The option vested as to 1/48 of the total shares on February 1, 2020, and 1/48 of the total shares vests monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| 11 | Derivative | Class B Common Stock | 2021-12-01 | M | A | 20,000 | $0.00 | 20,000 | D | — · — to — | 20,000 Class A Common Stock | (F11) 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. |
| 12 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2021-12-01 | M | D | 15,000 | $0.00 | 160,000 | D | $1.11 · — to 2026-08-15 | 15,000 Class B Common Stock | (F10) The options are fully vested. |