Amar K. Goel - Sep 30, 2022 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Chairman, Chief Growth Officer, Director, 10%+ Owner
Signature
/s/ Thomas Chow, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Sep 30, 2022
Transactions value $
$0
Form type
4
Date filed
10/4/2022, 09:41 PM
Previous filing
Aug 16, 2022
Next filing
Oct 6, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PUBM Class A Common Stock Options Exercise $0 +1.01K $0.00 1.01K Sep 30, 2022 Direct
transaction PUBM Class A Common Stock Options Exercise $0 +2.99K +297.81% $0.00 4K Oct 1, 2022 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PUBM Restricted Stock Unit Options Exercise $0 -1.01K -10% $0.00 9.04K Sep 30, 2022 Class A Common Stock 1.01K $0.00 Direct F1, F2, F3
transaction PUBM Restricted Stock Unit Options Exercise $0 -2.99K -7.14% $0.00 38.9K Oct 1, 2022 Class A Common Stock 2.99K $0.00 Direct F1, F3, F4
holding PUBM Class B Common Stock 1.3M Sep 30, 2022 Class A Common Stock 1.3M By Birchwood Trust F5, F6
holding PUBM Class B Common Stock 823K Sep 30, 2022 Class A Common Stock 823K By Marais Irrevocable Trust F5, F7
holding PUBM Class B Common Stock 823K Sep 30, 2022 Class A Common Stock 823K By Tuscan Irrevocable Trust F5, F8
holding PUBM Class B Common Stock 592K Sep 30, 2022 Class A Common Stock 592K By RAJN Trust-A Trust F5, F9
holding PUBM Class B Common Stock 592K Sep 30, 2022 Class A Common Stock 592K By RAJN Trust-N F5, F10
holding PUBM Class B Common Stock 443K Sep 30, 2022 Class A Common Stock 443K See footnote F5, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 The RSUs vested as to 1/8 of the total shares on June 30, 2021, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F3 RSUs do not expire; they either vest or are canceled prior to the vesting date.
F4 The RSUs vested as to 1/16th of the total shares on April 1, 2022, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F5 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.
F6 These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
F7 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.
F8 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F9 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.
F10 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.
F11 These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.