Form 4 for PUBM PubMatic, Inc.
Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-10 · accession 0001844595-21-000010 · 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 | 2021-11-12 | 2021-11-10 | PUBM | van der Zweep Michael | Ctrl | C - Cnv Deriv | $0.00 | +20.4K | 20.4K | +47,360% | $0 |
| DM | 2021-11-12 | 2021-11-10 | PUBM | van der Zweep Michael | Ctrl | S - Sale | $40.13 | -20.4K | 43 | -100% | -$817.3K |
| DM | 2021-11-12 | 2021-11-10 | PUBM | van der Zweep Michael | Ctrl | M - OptEx | $0.00 | 0 | 0 | New | $0 |
| D | 2021-11-12 | 2021-11-10 | PUBM | van der Zweep Michael | Ctrl | C - Cnv Deriv | $0.00 | -20.4K | 49.8K | -29% | $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 | 2021-11-10 | C | A | 20,365 | $0.00 | 20,408 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-11-10 | S | D | 19,865 | $40.11 | 543 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $40.00 to $40.98, 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 | 2021-11-10 | S | D | 500 | $41.07 | 43 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $41.00 to $41.15, 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. |
| 4 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2021-11-10 | M | D | 4,167 | $0.00 | 45,833 | D | $5.29 · — to 2030-10-09 | 4,167 Class B Common Stock | (F4) The options vest as to 1/48 of the total shares on November 1, 2020, 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. |
| 5 | Derivative | Stock Option (Right to buy Class B Common Stock) | 2021-11-10 | M | D | 6,198 | $0.00 | 11,302 | D | $2.97 · — to 2029-09-26 | 6,198 Class B Common Stock | (F5) The options vest as to 1/48 of the total shares on October 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. |
| 6 | Derivative | Class B Common Stock | 2021-11-10 | M | A | 20,365 | $0.00 | 70,205 | D | — · — to — | 20,365 Class A Common Stock | (F7) 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. |
| 7 | Derivative | Class B Common Stock | 2021-11-10 | C | D | 20,365 | $0.00 | 49,840 | D | — · — to — | 20,365 Class A Common Stock | (F7) 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) | 2021-11-10 | M | D | 10,000 | $0.00 | 0 | D | $2.15 · — to 2027-05-01 | 10,000 Class B Common Stock | (F6) The options are fully vested. |