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

Role
Chairman, Chief Growth Officer, Director, 10%+ Owner
Signature
/s/ Thomas Chow, Attorney-in-Fact
Issuer symbol
PUBM
Transactions as of
30 Sep 2022
Net transactions value
$0
Form type
4
Filing time
04 Oct 2022, 21:41:24 UTC
Previous filing
16 Aug 2022
Next filing
06 Oct 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PUBM Class A Common Stock Options Exercise $0 +1,005 $0.000000 1,005 30 Sep 2022 Direct
transaction PUBM Class A Common Stock Options Exercise $0 +2,993 +298% $0.000000 3,998 01 Oct 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 -1,005 -10% $0.000000 9,043 30 Sep 2022 Class A Common Stock 1,005 $0.000000 Direct F1, F2, F3
transaction PUBM Restricted Stock Unit Options Exercise $0 -2,993 -7.1% $0.000000 38,905 01 Oct 2022 Class A Common Stock 2,993 $0.000000 Direct F1, F3, F4
holding PUBM Class B Common Stock 1,303,636 30 Sep 2022 Class A Common Stock 1,303,636 By Birchwood Trust F5, F6
holding PUBM Class B Common Stock 823,000 30 Sep 2022 Class A Common Stock 823,000 By Marais Irrevocable Trust F5, F7
holding PUBM Class B Common Stock 823,000 30 Sep 2022 Class A Common Stock 823,000 By Tuscan Irrevocable Trust F5, F8
holding PUBM Class B Common Stock 591,652 30 Sep 2022 Class A Common Stock 591,652 By RAJN Trust-A Trust F5, F9
holding PUBM Class B Common Stock 591,652 30 Sep 2022 Class A Common Stock 591,652 By RAJN Trust-N F5, F10
holding PUBM Class B Common Stock 443,414 30 Sep 2022 Class A Common Stock 443,414 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.